Compliance Officer

Job Description:

The Compliance Officer is a valuable member of the Global Compliance Team, providing day-to-day marketing review support of sales and client service advertising materials of retail, institutional and corporate businesses as well as supporting the email surveillance program. This role also may assist in other compliance activities that support the firm’s policies and procedures, testing, and maintenance of global regulatory developments and industry trends. This role requires an individual with an ability to multi-task and maintains a results-oriented approach to resolving various compliance issues and achieving multiple compliance objectives. The compliance team serves as a robust independent second line of defense to help ensure that the firm operates within regulatory requirements and industry practices, and this is an important role within the compliance team.

Years of Experience

4-6 years' experience.

Qualifications

A strong educational background including an undergraduate degree is required

Responsibilities

• Assist the Compliance Manager in overseeing the day-to-day activities of a team of 6-8 compliance analysts, ensuring alignment with departmental goals and objectives.
• Oversee the firm’s electronic Communication surveillance program and marketing material review process.
• Liaise with global compliance team to manage the Code of Ethics and personal trading program of Mumbai staff.
• Participate in projects relating to the enhancement of US and global compliance policies and procedures, internal controls, and systems in response to changes in the business or regional and/or global regulations.
• Liaise across the firm to execute reporting processes and create/distribute reports to support reporting for global and US compliance trends;
• Liaise across the firm to execute reporting processes and create/distribute reports to support reporting for global and US compliance trends; and
• Initiating, building and cultivating strong relationships inside and outside the compliance team and be able to navigate and create solutions to solve sophisticated issues while working with various levels of management and business partners.

Candidate Requirements

• Knowledge regarding investment adviser compliance and investment operations is preferred.
• Ability to quickly learn new technology platforms and adjust to change.

Core Values

• Strong interpersonal, oral, and written communication and collaboration skills with all levels of management
• Strong organizational skills including the ability to adapt to shifting priorities and meet frequent deadlines,
• Demonstrated proactive approach to problem-solving with strong judgment and decision-making capability.
• Self-disciplined, highly resourceful and collaborative team-player, with the ability to also be independently effective and exude initiative and a sense of urgency.
• Exemplifies our customer-focused, action-oriented, results-driven culture.
• Forward looking thinker, who actively seeks opportunities, has a desire for continuous learning, and proposes solutions.
• Ability to act with discretion and maintain complete confidentiality.
• Dedicated to the firm’s values of non-negotiable integrity, valuing our people, exceeding client expectations, and embracing intellectual curiosity and rigor.