You will be responsible for building and managing a strong compliance program. You will advise on and monitor on a global arena compliance programs. You will develop training programs and be a strong team leader at executive levels.
Requirements and Duties
- Develop tools for assessment and compliance reviews for all policies and risk controls. Monitor closely to ensure all requirements are met.
- Monitor that all federal, state and global laws and regulations are closely adhered to.
- Set in place policies to ensure complete compliance with all company procedures worldwide.
- Develop a close association with both engineering and product development teams to develop software that meets all challenges.
- Set policies that will provide both guidance and detail compliance for both company officials and the Board of Directors.
- Develop a program to improve compliance programs on an ongoing basis.
- Make all necessary information available to senior company officials on all details referring to compliance.
- Promote strong teamwork platform for the adherence to all compliance issues. Provide solutions for any issues or concerns that have been under investigation or evaluation.
- Develop and implement programs for all employees through education, leadership, and support through a strong teamwork system.
- Provide support for compliance with all regulatory and legal departments.
- Ensure that all policies and any conflicts of interest are addresses fully and immediately.
- Ensure all marketing material meets all requirements globally and in accordance with compliance programs.
- The candidate will be senior advisor available to meet CLO daily.
What you will bring to work
- Graduate from a credited law school with knowledge of compliance and regulatory enforcement
- Hold an MBA, CPA, or financial experience.
- Must have at least 15 years working with compliance matters.
- Background in regulatory and compliance through government, the private sector, financial, or have worked in securities or employment in the compacity as a senior compliance officer.
- Ability to work effectively with regulators at state, federal or global levels and with SEC and CFTC and/or global equivalent regulators.
- Must have a strong background in team leadership and ability to develop and run team programs.
- Must have highly developed ability at analytical problem solving and strong project management skills, ability to build strong relationships and work with others.
- Strong analysis skills of regulatory problems or issues and ability to see what effect such issues may have on business.
- Hols Compliance credentials or certificate.
- FINRA registration preferred. Series 7 and 24.