This position is for a financial services compliance professional at the Associate level to work on regulatory and compliance issues confronting clients who are asset managers, banks, broker-dealers, exchanges, and other financial services firms such as fintech companies. Issues handled by the Associate will also involve cryptocurrencies, swaps, and investment products. This position will work on projects to help clients manage regulatory risk and enhance compliance programs.Job Title: Risk Management & Compliance AssociateJob Type: Full TimeLocation: Washington, D.C. or New York CityAbout the Firm:Patomak Global Partners is a leading financial sector consulting firm that applies the insights of senior-level industry experts to advise clients on complex and cutting-edge strategy and compliance and risk management challenges.We are experiencing high growth and are looking for individuals that are self-starters and eager to learn from the best in the industry. In this role, you will have the opportunity to work with senior industry and regulatory experts. Day-to-day interaction with former senior government officials and industry leaders will provide a unique and transformational professional experience.Patomak seeks a mid-level professional with a good understanding of SEC/FINRA and/or CFTC/NFA rules and regulations. In this Associate role, you would apply your knowledge of these rules and regulations to compliance and risk programs in light of regulatory expectations and best practices and identify opportunities for clients to enhance their compliance and risk programs, business models, and operations.This position offers you the opportunity to join a high-performing team in a fast-paced work environment. You will lead cutting-edge projects and work on new industry-specific risk and compliance challenges.Overview of the job duties:
- Assess clients' compliance programs against rules, regulations, and supervisory expectations.
- Conduct testing to determine control effectiveness.
- Design and implement enhanced internal controls framework.
- Review clients' governance framework, operations, and trade and communication surveillance systems.
- Prepare written reports and other deliverables for the client.
- Closely collaborate with Managers, Senior Directors, and Managing Directors on business development and project execution.Skills and Desired Qualifications:
- Strong organizational, time management, and problem-solving skills.
- Experience working with teams focused on identifying or overcoming compliance challenges facing leading financial companies.
- Excellent PowerPoint and Excel skills.
- Excellent writing and editing skills.
- All-hands-on-deck mentality befitting a collaborative work environment.
- Proactive and curious; ability to quickly get up to speed on new topics, regulatory priorities, and rules and regulations.
- Flexible in adapting to new job duties and client demand.
- Keen attention to detail.
- Ability to work well in a team environment.
- Positive attitude and desire to learn.Education and/or Relevant Experience:3-5 years of risk management or compliance experience (e.g., consulting firm, law firm, financial firm) and/or service in a financial government agency (e.g., SEC, CFTC).Subject matter expertise in one or more of the following:
- Securities (SEC/FINRA) rules and regulations as applicable to broker-dealers, security-based swap dealers, or investment advisers.
- Commodities (CFTC/NFA) rules and regulations as applicable to swap dealers or futures commission merchants.
- Banking regulations, particularly capital and risk management rules.
- Regulatory examinations, investigations, and enforcement experience at a regulator or consulting firm.
- Advanced degree preferred but not required.Patomak Global Partners, LLC is an equal opportunity employer and does not discriminate on the basis of race, color, national origin, ancestry, citizenship status, protected veteran status, religion, physical or mental disability, marital status, sex, sexual orientation, gender identity or expression, age, or any other basis protected by law, ordinance, or regulation. #J-18808-Ljbffr