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Chief Compliance Officer

New York City, NY, USA | Leading Insurance Company

  • Industry:
    Insurance - General
  • Position Type:
    Full-Time
  • Functions:
    Regulatory Affairs
  • Experience:
    10-12 years
Job Description:
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 Support Global Head of Compliance and the Head of North America and their respective teams, as applicable, in maintaining the firm’s US and, as applicable, international compliance programs


 Participate in transversal global and regional Company IM and Company IM RA requirements, initiatives and projects, particularly regarding regulatory change and oversight


 Advise senior management on critical compliance issues; proactive participation as required on select compliance, risk and other governance committees


 Assist with the establishment and administration of Participating Affiliate Arrangements and the accompanying oversight obligations involving non-US affiliates


 Maintain and update risk assessment of compliance policies and procedures that drive monitoring and testing plans


 Maintain, amend, update and file all applicable regulatory registrations, licenses and filings to SEC and other applicable regulators, as well as assist with required client notices, disclosures and documents


 Implement, maintain and coordinate the periodic risk based compliance testing program, including calendar, control matrix, testing matrix, and select forensic testing, as well as documentation support for such activities in coordination with Global Compliance


 Prepare monthly and quarterly management / committee reporting, as well as coordinating the required annual compliance assessment


 Participate to Compliance team meeting within Real Assets


 Provide substantive and timely policy and procedure revisions to ensure sufficient detail and clarity regarding principle based oversight and


documentation requirements to address regulatory expectations


 Perform compliance oversight, reporting and remedial actions for breaches and/or errors that have compliance or regulatory impact


 Participate in special projects for compliance program implementation on the local, regional and global levels


 Coordinate the local review and approval of sales and marketing materials for all locally maintained products and services in accordance with industry rules and regulations


 Assist with the review and approval of select correspondence, client requests, and RFPs / RFIs


 Assist with regulatory requests, and other compliance related projects. Back up other members of the Compliance team as needed


 Manage external consultants to achieve company regulatory and compliance objectives


Education/


Qualifications


• degree required; 's degree in business administration, finance, or related subject preferred


Experience


• Minimum 10 ’ experience in a similar role(s) in support of investment management operations, legal, or compliance program in the financial services industry, consulting firm or regulatory agency


• Demonstrated compliance, operations or legal experience within a financial services organization – prefer investment management


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