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Director Compliance
Experience
10 yrs required
Location
Newark, NJ, United States
Posted on
Sep 27, 2020
Profile
Director Compliance Fixed Income
Duties: Promote reputation for ethics and integrity. Address regulatory compliance issues relating to Fixed Income fund investment and product development, including private fund regulation and related compliance issues. Review and advise the regulatory filing process. Conduct compliance risk assessments. Execute and manage team projects. Participate in new product development and product launches. Monitor and advise on new Regulations and related policy and compliance activity. Partner with the business to draft, update and implement new Fixed Income policies, procedures and processes. Work with the regulatory team to manage internal and regulatory audits for Fixed Income investment adviser. Establish regulatory processes and controls and recommend and implement enhancements based on new business initiatives.
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