Chief Compliance Officer

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Chief Compliance Officer
The candidate will lead and manage the firm's global compliance program including regulatory affairs. Serve as a subject matter expert ensuring the business is aligned to changing market conditions. Develop an overall strategic vision for the compliance functional areas. Will identify, manage and resolve compliance issues; represent the firm before prospects, clients, regulators and other stakeholders. Develop compliance policies and procedures; track legal and regulatory changes and trends; and oversee regulatory examinations and assessments. Will report directly to the General Counsel, Head of Legal and Compliance. Manage and monitor all aspects of the Firm’s compliance program, including overseeing compliance with all applicable laws, regulatory requirements, policies and procedures; developing and implementing policies and procedures; monitoring the effectiveness of controls and performing compliance review functions, including on new products, marketing materials and investor documentation; and oversee the preparation and submission of regulatory filings, and responses to regular and periodic compliance requests and certifications. Develop and implement best practices and process improvements, including participation in internal and external projects concerning the implementation of new legal and regulatory requirements; monitor trends and regulatory changes to assess their potential or actual impact on the firm; and carry out assessments to identify areas of potential compliance risks in order to implement preventive/corrective strategies. Track global regulatory changes and ensure that the firm remains current with policies, procedures and controls. Develop an annual compliance work plan, including periodically revising the plan in light of changes, updating and delivering annual compliance training and lead and/or report to committees, as applicable. Coordinate efforts related to audits, reviews and examinations, including interfacing with regulators. Participate on internal committees and working groups on a variety of topics, including information security, broker review, operations and ESG. Stay current on compliance solutions in the financial technology space and build an in-depth knowledge of the technology that we use at the firm. Mentor and lead the global S. compliance team in a collaborative and productive way, and develop strong partnerships with the U.S. and global business. Bachelor’s degree is required, JD is a plus. Should have 10+ years of experience working with regulators. Previous experience as a representative for a firm or as an industry expert is required. Technology and analytics champion with experience automating or operationalizing compliance solutions, including working knowledge of how to build compliance solutions using technology is required. Global asset management experience is preferred.

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