Compliance Complete | Recruitment | Job List

Global Chief Compliance Officer

1327600176

Fund/Asset Management | 300k - 350k Yearly excellent bens | A Global Investment Manager are seeking to hire a Global Chief Compliance Officer to join their Headquarters overseas.

My client are hoping to engage with UK regulatory professionals with an understanding of multiple global jurisdictions to strengthen the regulatory framework globally.

The post holder will report directly to the board and hold significant responsibility within the organisational structure.

This is an exceptional opportunity to work closely with high calibre professionals in the investment management industry.

www.badenochandclark.com - Let's find the career that connects with your life.Badenoch & Clark is acting as an Employment Agency in relation to this vacancy. Badenoch & Clark is an Equal Opportunity Employer and a registered Disability Symbol User.

Compliance Assistant – Insurance Experience Required

1326899862

Compliance & Regulation | 75k - 90k Annually + Bonus & Benefits |

Our client, a securities and investment banking firm, is recruiting a Compliance Analyst. Duties will include

Assist with registration process
Advise generally on both state & federal regulations
Assist with completing all required returns
Ad hoc projects

You should have 2-4 years compliance experience, be familiar with the state insurance or broker dealer registration process & the appointment process for Insurance and have some knowledge of annuity products.

Please call Jody Foster # 312-636-3498 for a confidential discussion about this position or send your details to jody@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Exclusive: Senior Director Compliance - JD Required

1326899802

Compliance & Regulation | 175k - 210k Annually + Likely 25% Bonus + Benefits (including generous relocation) |

Our client, a niche biopharmaceutical company, is seeking to recruit a Senior Director to be responsible for; managing the ethics and compliance program for the Company & ensuring that the Company exercises due diligence to operate with integrity and prevent and detect improper conduct; to ensure the Company promotes an organizational culture that encourages ethical conduct and a commitment to compliance with the law, resulting in a positive image to associates, customers, vendors and the community; to ensure a culture of integrity and sufficient internal controls are in place to promote compliance with high legal, regulatory and ethical standards and reduce enterprise risk. Detailed duties include;

Determine that Company policies and procedures are consistent with the Company's mission, values and Code of Ethics, as well as all applicable legal, regulatory and ethical standards.
Manage the Company's compliance program, ensuring that all necessary elements are in place, including appropriate policies and procedures, training, monitoring and enforcement.
Help develop, maintain manage, assist with and/or conduct training on compliance-related subjects and procedures.
Investigate and work to resolve any situation where Company's ethics or compliance policies may be compromised, including offering recommendations to Human Resources and Senior Management on disciplinary action for associates who violate the Code of Ethics or other compliance standards.
Coordinate the annual updating of the Code of Ethics with Human Resources and General Counsel.
Update and disseminate education and communication materials regarding the Company Hotline Policy.
Ensure that a mechanism for communicating ethics and corporate compliance materials to vendors exists and is updated regularly with information pertaining to all vendor partnerships.
Maintain all records and case files pertaining to the Company Hotline and help conduct investigations in partnership with the General Counsel.

You must have a JD degree and a solid understanding of general ethics and compliance practices, regulations, and laws applicable to biopharmaceutical companies, and a minimum of ten years experience, including three in an in-house function with responsibility for compliance. This may have been in the pharmaceutical or biotech industry and possibly from another sector e.g. Financial Services, provided you have the above general awareness and/or interest in this sector.

You should also have excellent organizational, analytical and communication skills due to the nature of involvement and interaction with associates at all levels of the organization, with the ability to interact with all levels of associates and management, outside providers and regulatory agencies.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance Associate - Any Compliance Experience (or Operations or Legal Exp if in Investment Management)

1326899722

Compliance & Regulation | 80k - 110k Annually + Bonus + Benefits |

Our Client, a leading fund management firm, is looking for a motivated individual to join the existing compliance staff. Duties include;

Researching, understanding, and interpreting SEC Registered Investment Advisor laws and regulations and similar regulatory areas such as ERISA.
Interacting with the firm's external compliance consultants and law firms on compliance and regulatory matters.
Developing an understanding of the firm's business and the regulatory framework in which it operates.
Working with the CCO and General Counsel to ensure adherence to various legal and regulatory requirements and industry best practices.
Managing the firm's compliance system recordkeeping, reporting, and calendar functions.
Working with the CCO to evaluate, test, implement, and manage compliance controls.
Evaluating personal securities transactions, and monitoring adherence to internal personal trading requirements.
Assisting with the review of marketing materials, publications, and third-party communications.

You should have a strong academic background with either at least 2 years in any Compliance or Regulatory role or else 2-4 years experience in operations, legal, or other equivalent functional areas in investment management.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.