Our client, a premiere international investment bank, seeks an Associate VP of Global Compliance Employee Services.


Global Compliance is an integral part of the firm, serving internal clients in all aspects of its business. Generally, Global Compliance’s responsibilities include advising employees on regulatory and reputational issues and market practices as well as proactively resolving issues within a dynamic regulatory environment. GCES is responsible for overseeing all employee-related compliance matters such as registrations, the review and approval of employees’ outside brokerage accounts, private investments, outside interests, political contributions and gifts and entertainment. 

Principal Responsibilities
This role will have primary responsibility for the global coordination and deployment of the firm’s revised policies and procedures regarding interactions with government officials. Functions include:
• Manage the overall project. This entails drafting new policies and procedures and coordinating throughout the firm to implement them. This will also require significant interaction with Technology to build various processes.
• Daily review of potential conflicts involving government officials and the firm’s business. Provide guidance to internal clients on appropriate interpretation and application of policies/procedures. 
• Manage a team that will focus on the day to day requests. 
• Respond to internal and regulatory audits.
• Stay current on regulatory changes.
• Develop reports and metrics to monitor functions at several levels. 


Qualifications
• JD or MBA or relevant compliance experience (5 years or more)
• Excellent writing and verbal skills
• Strong analytical, organizational, and project management skills
• Excellent interpersonal skills 
• Management experience
• Excellent judgment 
• Interest in financial markets and securities laws

Please send resumes or questions about the position to Jack Kelly, Managing Director of Compliance Search Group,  at jkelly@compliancesearch.com .

The Compliance Search Group is the oldest, largest and most respected global search firm focused on the placement of Compliance, Legal, Risk Management, Audit, Credit, Accounting, Financial Controls and Regulatory professionals.

The Compliance Search Group offers:
• Recruiting
• Temporary to Long Term Consultants
• Job Board Postings
• Management Consulting

To view all our positions please visit The Compliance Search Group at www.ComplianceSearch.com 

Also, please feel free to visit our informational blogs: The Compliance Exchange www.CompliancEX.com