VP
One of the world's leading providers of financial services to institutional investors is seeking a VP for Compliance Risk Oversight and Testing. This person will manage a global team of compliance professionals responsible for the execution of the regulatory risk assessment, the controls and testing program, and managing the firm's relationship with regulators. This position reports to the Global Chief Compliance Officer.
Primary responsibilities include:
- Manage a global team of compliance professionals responsible for the execution of the regulatory risk assessment, as well as the controls and testing program.
- Collaborate with the investment advisor business and control functions to evaluate current processes, identify areas for improvement, and implement solutions.
- Serve as liaison to the Federal Reserve Bank. Assist in preparation for regulatory examinations.
- Oversee the annual CCO Attestation process.
- Oversee and organize the annual SSAE 16 process.
- Serve on the firm's governance committees.
- Provide training to employees regarding firm's policies, procedures and regulatory requirements.
- Assist with special projects, as requested.
Requirements:
- A Bachelor's Degree or equivalent is required
- Several years of experience at a public accounting firm is preferred
- A minimum of 8 years of experience in investment management regulatory compliance
- Solid knowledge of the Investment Advisers Act and Investment Company Act
- A strong understanding of investment management products and services
- Enthusiasm for working in an international organization and adapting to different cultures
- Prior management experience and the ability to lead a team
- Excellent writing skills.
- Excellent organizational and project management skills.
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com
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