Senior Compliance Officer
Consultant Christian Lewis
Date posted June 14, 20187 Times Square New York NY 10036 Robert Walters United States of America
A Leading Global Asset Manager is looking for a Senior Compliance officer to join the global compliance team in a Regulatory, Advisory, and Monitoring capacity.
Provide accurate timely and business focused North American compliance advice to other business areas and provide compliance input to projects and business developments.
Provide consultancy and advice on any North American compliance issues arising from monitoring activities, including follow up, and escalation as appropriate.
Assist with the maintenance of a proactive relationship with our North American Regulators and Auditors, including interaction with regulators and the coordination of regulatory visits and examinations.
Assist with the provision of support and guidance to the Marketing teams on new initiatives and approval of North American Financial Promotions in line with FINRA, SEC, and Canadian regulations.
Attend appropriate industry/peer group events in the United States and Canada to identify and report relevant matters to the team.
Analyse North American regulatory changes and developments from the SEC, FINRA, CFTC and Canadian regulators and assist in the implementation of any changes required to policies and procedures.
Provide advice on compliance aspects of legal agreements including intermediary agreements to other business areas escalating issues as required.
Plan and undertake compliance monitoring in accordance with departmental procedures and applicable SEC, FINRA, CFTC and Canadian regulations.
Assist in the preparation of board/committee papers on compliance.