Securities Regulatory Compliance Mgrs needed for Global Advisory firm
New York, New York
Our Global Advisory client's Financial Services Office (FSO) is a unique, industry-focused business unit that provides a broad range of integrated services that leverage deep industry experience with strong functional capability and product knowledge. FSO’s Advisory practice provides integrated advisory services to financial institutions and other capital markets participants, including commercial banks, investment banks, broker-dealers, asset managers (traditional and alternative), insurance and energy trading companies, and other organizations. The service offerings provided by the Advisory practice include: market, credit and operational risk management, regulatory advisory, quantitative advisory, structured finance transaction, actuarial advisory, technology enablement, risk and security, program advisory, global treasury, and process and controls. The Advisory team includes individuals who have deep industry, product and client knowledge.
Within the FSO’s Advisory Services Practice, the Financial Services Risk Management (FSRM) group provides integrated risk management advisory services to leading Investment Banks, Commercial Banks, Asset Managers, Insurance Companies, Energy Companies, and the Corporate Treasury functions of leading Fortune 500 Companies on a global basis. FSRM engagement teams provide clients with recommendations to help identify, measure, manage and monitor the market, credit, operational, and regulatory risks associated with their trading, asset-liability management, capital management and other capital markets activities.
FSRM employs individuals with financial services risk management, trading, regulatory, quantitative, technology, operations and accounting backgrounds. The breadth of the experiences of the FSRM professionals enables the practice to coordinate the delivery of a broad array of risk management services to capital market participants throughout the world in a well integrated manner.
The Regulatory Compliance Manager focuses on managing people and projects to budget, product development, and service delivery.
Responsibilities
• Apply in-depth knowledge to lead an engagement team while demonstrating a fairly broad understanding of regulatory compliance of investment advisers and investment companies from an SEC perspective.
• Advise clients on a variety of business process and risk management services that help identify, assess, manage and measure the risk exposure in organizations.
• Critically analyze the policies, procedures, people, processes, and systems used by financial institutions to identify, assess, measure, monitor and control significant risks.
• Recommend modifications to client infrastructures to enhance the efficiency and effectiveness of business processes and risk management programs.
• Design and implement quality, practical business approaches.
• Assist with risk technology selection and implementation.
Review the work of Staff and Senior employees. Conduct timely performance reviews for Staff and Senior level Risk professionals and help to develop and guide staff and other junior Risk professionals by providing effective performance feedback/training and ensuring team responsibilities are consistent with skills and developmental goals. Lead by example.
Generate new business opportunities. Identify business development opportunities and assist Partners and Senior Managers on proposals and new business opportunities by drafting responses, participating in the proposal process, building client relationships, demonstrating knowledge of client business and communicating directly with target company
Participate in engagement management, engagement execution and reporting, and client relationship building and management.
Qualifications
To qualify, candidates must have:
• a bachelor's degree and approximately 5 years of related work experience; or a graduate degree and approximately 4 years of related work experience
• a degree in finance, economics, accounting, engineering or a related discipline; an MBA or MS preferred
• a minimum of 3+ years of relevant experience in banking/capital markets at a U.S. regulated banking organization and/or as an advisor to a U.S. regulated banking organization.
• a minimum of 3+ years of compliance experience, bank examination or other supervisory/regulatory experience.
• Experience and demonstrated understanding of applicable U.S. banking and/or securities laws, regulations, industry practices and regulatory expectations.
• strong written and verbal communication skills
• team work and leadership skills
• problem solving and solution development
• project management experience viewed as favorable
• Strong knowledge of the financial services industry, and its products and practices
• Additional knowledge of ERISA or state Blue Sky laws a plus, but not required
• a willingness and ability to manage and supervise engagement teams and complex projects through all phases
• strong communication, presentation, client service and technical writing skills, coupled with a strong interest in further developing compliance knowledge
Successful candidates must also have the ability to travel approximately 30%-50%.
please email all resumes to recruiter3@mindstaff.com for prompt consideration