Jobs for Investment Compliance Manager Vice President to Director Level Jobs in New York City banks - global compliance jobs
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Jobs for Investment Compliance Manager Vice President to Director Level in New York City banks - Compliance jobs
Global Investment Compliance Director
Vice President to Director Level Compliance Banking Executive
Title Global Investment Compliance Director
Vice President to Director Level - Contingent upon experience
Salary to $200,000 plus bonus
Location New York City, NY - U.S.A. - Other New York Compliance Jobs
Availability Immediate
Summary Major U.S. based global financial institution seeks a compliance professional with the ability to work effectively within the organization on global product development, sourcing and expanding global relations. 
Responsibilities Individual will be responsible for evaluating product offering, its composition, marketing materials, disclosures, sales strategies and approaches, and after action audits. Review client portfolios and preferred risks.

Proactively prepare global policies, proposals, reviews, opinions, white papers etc. to stay in conformity with the regulations.

Review, complete due diligence and negotiate with the internal and external vendors and third party providers.

Individual will take a proactive role in reviews/audits of internal policies, products and processes.  Lead the effort to prepare for external exams and serve as a primary interface with regulators.

Represent the opinions of the compliance department at senior management meetings, committees within firm and outside.  Lead compliance efforts for investment business globally.  Oversee the review of investment strategies for the firm and its branches globally.

Individual is expected to stay current to the financial field, products, legal opinions, world markets and political affairs. 
 
Reporting Line This position will report into the Head of Compliance and manages a staff of approximately 3-4 members.
Skills Required
  • Full scope knowledge of capital markets, derivatives, fixed income, equities, alternative investment and hedge fund products is essential.
  • A minimum of 10 years related securities industry / compliance background within investment banking / asset management is required. 
  • Individual must have knowledge of US regulations and statues. 
  • Must have experience in reviewing new products, marketing materials and disclosures. 
  • Experience in establishing investment process controls (sales, distribution, suitability, fiduciary oversight) is required.
ACADEMIC REQUIREMENTS
  • BA/BS, Advanced Degree ideal.
  • Series 7 certification required.
  • Series 8, 24, 63 and 65 are pluses.
Contact
Filcro Financial Staffing will review all documents submitted in the order they are received. 
Ms. Crocitto or a member of her staff will contact compliance candidates of interest within 24 hours.

Thank you. 

Helene Crocitto
Executive Vice President
Filcro Financial Staffing
521 Fifth Avenue
Suite 1801
New York, NY  10175-1801

 
Resume Email 
Resume Fax: 212.599.5050

Resumes in Microsoft Word w/salary history.  In the subject line place or leave the word "Compliance" Thank you.
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Jobs for Investment Compliance Manager Vice President to Director Level Jobs in New York City banks
Filcro Financial Staffing - Global Investment Compliance jobs in New York City