Compliance Specialist

JOB DESCRIPTION

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KEY RESPONSIBILITIES

• Support the development and implementation of the broker-dealer compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally.
• Build and implement compliance vendor technology workflows to facilitate pre-approval requirements, ensuring regulatory alignment and operational efficiency.
• Manage project timelines, resources, and stakeholder communications to ensure successful delivery of compliance initiatives and technology solutions.
• Perform surveillance and testing associated with the firm's compliance policies and procedures.
• Collaborate with Client Facing. Sales, Legal, Administrative Services, and other departments to identify and enhance compliance processes and controls.
• Must take initiative in learning and applying new skillsets.
• Proactively respond to business and regulatory changes.
• Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of the company.

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POSITION REQUIREMENTS

• Excellent problem-solving skills
• Experience using and implementing technology solutions, preferably with a focus on compliance vendor systems
• Excellent communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally
• Intelligent, bright, critical thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas
• Service-oriented; the ability to balance regulatory and policy standards along with a business perspective
• A highly motivated self-starter with the willingness to 'roll up your sleeves' and the ability to drive change
• Exceptional organizational skills: the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines
• Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands
• Consensus builder and team player with the ability to work well within a matrixed organization
• Demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization
• Working knowledge of MS Office Suite, including Word and Excel, with a strong desire to learn and master new software solutions.

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ROLE REQUIREMENTS

• Minimum 2 years of regulatory compliance experience, or related experience, with a large and diverse investment management firm serving in a compliance function.
• An undergraduate degree is required
• * General knowledge of regulatory requirements applicable to US investment managers and broker-dealers, including the Investment Advisers Act and FINRA Rules
• Background in fixed income, alternatives, derivatives, commodities and equity strategies offered in a variety of investment products including (i.e., open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds) is a plus.