Overview
A global investment management firm is looking to hire a Vice President (Core Compliance) to join its Compliance team based in Connecticut.
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 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
- Assist with the administration of the Firm’s Business Conduct Manual and Code of Ethics
- Respond to employee requests regarding personal trading, gifts and entertainment, political and charitable contributions, and other topics
- Handle various regulatory, registration and other filings
- Assist with the maintenance, tracking and organization of Compliance Department records
- Assist with developing, updating and administering Compliance training and policies, including Annual Compliance Training
- Draft, update and review employee Compliance certifications
- Draft responses to client reporting items, including RFPs, DDQs and other ad hoc reporting
- Review employee disclosures
- Draft firm-wide reminders on various compliance and regulatory topics
- Assist with other tasks and responsibilities as required
Skills, Knowledge & Experience
- A Bachelor’s degree
- Ideally minimum of 7 years of compliance experience
- Strong interpersonal, communication and writing skills
- Excellent responsiveness and attention to detail
- Familiarity with StarCompliance a plus but not required
Person Specification
- Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment
- Strong organizational skills, close attention to detail and the ability to keep thorough and precise records
- A self-starter with the ability to work independently and with a sense of urgency
- Exceptional analytical and problem solving skills
- Hard working and eager to learn in a highly intellectual, collaborative environment
