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.