Job Location : New York,NY, USA
Senior Vice President, Control Room Compliance
About the Company
Ambitious asset management firm
IndustryFinancial Services
TypePrivately Held
About the Role
The Company is in search of an SVP for Control Room Compliance to lead their control room team. The successful candidate will be a key figure in the firm's compliance function, working closely with all team members to ensure the integrity of the control room. This leadership role involves spearheading all control room efforts, implementing and driving policies, procedures, and controls related to restricted trading and watch lists, and handling conflicts of interest on both regional and global levels. The SVP will also be responsible for mentoring junior team members, evaluating personal trading and private investment requests, and conducting analysis related to potential material nonpublic information.Applicants for the SVP, Control Room Compliance position at the company should have 10-14 years' regulatory and/or compliance experience, with a focus on control room. The role requires a candidate with the ability to lead, drive, and mentor a team, excellent communication skills, a strong work ethic, and attention to detail. Strong leadership, organizational, and time management skills are essential. The company values a collaborative, fast-paced work environment and is dedicated to the development of its internal talent. The role is office-based and the candidate is expected to adhere to the firm's in-office policy.
Travel PercentLess than 10%
Functions