Larson Maddox is partnered with a leading financial services firm looking for a Compliance Office, based in New York. This firm is globally recognized and offers the opportunity to be a managing player in its Compliance department overseeing 4 direct reports.
Responsibilities:
- Lead and develop a team of compliance officers overseeing code of ethics, testing, monitoring, surveillance, and regulatory change management.
- Manage the firm's Code of Ethics, including review and approval of requests related to personal investment, outside business activities, gifts, entertainment, and political contributions.
- Take charge of the firm's core compliance program, including testing, monitoring, surveillance, and preparation of regulatory reports.
- Collaborate with global compliance teams and control groups on initiatives such as surveillance, risk assessments, testing, and audits.
- Provide real-time advice on regulatory and internal policy issues.
- Monitor, analyze, and interpret new rules and regulations, addressing gaps and participating in relevant regulatory/industry initiatives.
- Draft and revise policies, procedures, and advisory bulletins supporting the compliance program.
- Conduct business-focused compliance training on new and existing regulations and firm policies.
- Analyze and prepare responses to regulatory inquiries and due diligence requests.
- Assist with regulatory exam preparedness and management.
Qualifications:
- Minimum of 12 years of regulatory compliance experience in the financial services industry.
- Legal background is useful but not essential.
- Prior formal management experience is strongly preferred.
- Enthusiastic, proactive, and solution-oriented self-starter with high integrity.
- Strong ability to work collaboratively in a fast-paced environment.
- Attention to detail, discretion, and ability to manage various issues simultaneously.
- Excellent interpersonal and relationship-building skills.
- Effective written communication skills for report writing and analysis.
- Methodical, structured, and rigorous approach to deliver results.
If you're passionate about regulatory compliance in the financial industry and are ready to contribute to a high-performance team, apply now to be part of this dynamic environment!
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