AVP, Policies and Procedures, Compliance

Main Responsibilities:

• Collaborate with various business units to update and maintain existing policies and procedures and develop new policies in response to changes in regulation or business unit initiatives.
• Work closely with the Head of Policies and Procedures to develop and execute the Annual Compliance Plan with respect to policy reviews.
• Create and deliver training for business unit and other team members regarding applicable laws, regulations, policies and procedures.
• Collaborate with the Legal Department to document and track regulatory developments that directly impact the firm.
• Create and draft compliance bulletins to educate employees on updates to policies or new regulatory developments.

Requirements:

• Extensive knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, other securities laws and applicable regulation is absolutely essential.
• Bachelor’s Degree required; graduate degrees or related certifications a plus.
• 5-10 years Compliance experience within the financial services industry.
• Excellent communication skills, both written and oral.
• Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results.
• Strong analytical and creative problem solving skills; ability to generate creative alternatives to identified issues.
• Strong relationship building skills; ability to develop and foster trust-based relationships with the various business lines supported.
• Strong writing skills are particularly important; writing samples will be required.
• Strong organization and influencing skills.