San Francisco, California
Banking & Financial Services
£200000 - £250000 per annum + 500,000
about 1 year ago
- Continuously enhance and manage the compliance framework including ensuring regulatory and policy requirements and procedures are embedded within the business areas and technology systems.
- Demonstrate success in partnering with legal, compliance and business teams globally on engagement with U.S. regulators including driving strong results in regulatory exams and other engagements with regulators and auditors.
- Track and understand the changing regulatory environment to ensure policies, procedures and key stakeholders are kept current.
- Execute governance and management reporting including by participating in management and governance forums to consistently manage regulatory compliance risk on a timely basis.
- Manage a team responsible for the overall business and ERISA compliance framework, as well as Regulatory Engagement and Development.
- Demonstrate the ability to work in a fast-paced environment with multiple deadlines across time zones.
- 10+ years of legal, regulatory, compliance or operational experience at a financial institution is preferred. Relevant experience at a large law firm, consulting or similar firm or a federal regulator will also be considered.
- Demonstrate a proficiency about multiple areas of financial regulation that relate to a large asset management company and the desire to deepen that knowledge to lead a highly effective compliance team.
- Investment management compliance or direct OCC, SEC, or ERISA regulatory experience for a sophisticated financial services firm is preferred.
- The candidate should also be experienced in policy writing, presenting and communicating to senior management and familiar with compliance testing technology.
- Have a proactive approach to business issues, identifying areas of improvement and enhancement including the automation of processes and effective management reporting.
- BS/BA required; JD or other relevant graduate degree is preferred.
- Excellent communication, judgement, and business partnership skills across time zones is expected.
- Ability to make decisions and exercise discretionary authority is necessary to successfully fulfill the role.
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.