Overview
A global investment firm is seeking a Data Compliance – Associate/Vice President to join its Greenwich, CT office.
The Compliance group is responsible for designing, implementing, monitoring, and testing the firm’s control environment. It is responsible for ensuring the firm is acting as a responsible fiduciary to clients. It creates sets of policies and procedures that define how the firm operates its business. It analyzes and visualizes data to monitor the activities of the organization and give advice to other functions. It is also mandated with ensuring the firm complies with all relevant regulatory and industry rules and regulations.
The Compliance group is broken down into various functional teams each with a unique set of responsibilities. The group has a mix of professional backgrounds including both financial professionals and lawyers with a mix of quantitative, technical, programming, and legal analysis skills.
Key Responsibilities
- Conduct legal and compliance reviews of data providers and artificial intelligence tools
- Draft and maintain compliance policies and procedures relating to data and AI use
- Interface with data, research and engineering teams
- Monitor regulatory developments and advise relevant stakeholders
- Support governance and control processes
Skills, Knowledge & Experience
- J.D. degree required
- 3-5 years legal/compliance experience in the financial services industry; law firm or prior regulatory experience a plus
- Experience with data licensing, AI/data governance, and securities regulation
- Excellent oral and written communication skills; must be able to confidently collaborate with management and various departments within the firm
Key Competencies
- Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet
- deadlines with limited supervision and exercise sound judgment.
- A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.
- Well-organized and detail-oriented.
- Able to focus on details and their interaction, while keeping in mind the bigger picture.
- Excellent oral and written communication skills; must be able to confidently collaborate with senior management and various departments within the firm.
Company Benefits
- This job is also eligible for an annual discretionary bonus.
- The firm offers comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees.
