Our client is a top investment management firm with over $20 billion in assets, over 1,500 employes across their global offices, and diversified asset management. Their team works as a unit, valuing every employee's value and they have created a strong company culture.
We have partnered with this prestigious firm to find a Compliance Officer with 5+ years of experience working with vendor policies, expert network chaperoning, and regulatory requirements. You will be tasked with reviewing vendor data and conducting research compliance as needed.
Responsibilities:
- Collaborate with fellow team members responsible for research compliance, engaging closely with investment staff and other stakeholders within the organization.
- Perform thorough due diligence assessments and generate detailed reports concerning potential partnerships with data and research vendors. Emphasis is placed on evaluating vendor policies and procedures, their authorization to possess and license data to clients, usage rights, and adherence to relevant federal, state, and international regulations.
- Evaluate and authorize expert network requests from investment team members, oversee expert network communications, and meticulously document and monitor all related interactions.
- Assess, authorize, and monitor web scraping requests to ensure alignment with organizational policies.
- Support the Research Compliance team in addressing issues pertaining to material non-public information and other research and data-related concerns.
- Remain vigilant in monitoring and staying abreast of pertinent laws, regulatory developments, case law, and changes in data privacy regulations.
- Aid the Compliance Department in fulfilling ongoing regulatory obligations and upholding Compliance policies.
- Promptly escalate pertinent matters to Compliance management when necessary.
- Contribute to fulfilling ad-hoc requests as required.
Qualifications:
- Bachelor's Degree required; possessing a JD is advantageous.
- Minimum of 5 years of pertinent legal or compliance experience.
- Prior experience within the financial services sector is preferred, with additional merit given for familiarity with research and data vendor due diligence.
- Uphold a high standard of professionalism in interactions with internal colleagues, external partners, clients, and regulatory bodies.
- Demonstrate strong organizational and research capabilities.
- Exhibit adeptness in managing multiple tasks concurrently.
- Display the capacity to thrive independently in a fast-paced environment.
- Possess excellent written and verbal communication proficiencies.
- Pay meticulous attention to detail.
We are seeking a strong culture fit who displays abilities to work in a fast paced environment and can work well with others. This role is a hybrid structure in our Client's Manhattan office. The salary range of $120,000-$180,000 is dependent upon candidate's experience and qualifications.
