Chief Compliance Officer

Gresham Hunt are a specialist recruitment firm with offices in London, New York & Amsterdam.

We operate across the Financial Services industry supporting some of the most recognisable and exciting brands globally recruiting across the Corporate Governance spectrum.

We have been retained by a growing Asset Management firm who are seeking to appoint a Chief Compliance Officer to lead and develop their Global Compliance division.

The role:

Manage the compliance program for the Firm which will include implementation of existing policies and design of new programmes.
Ensure compliance with all federal and state laws governing the business, and have had experience engaging and facing off to FINRA,
Work with counsel and industry trade groups to stay ahead of the curve on relevant laws and monitor pending legislation.
Work with company’s project management, legal and IT teams to ensure data and privacy compliance.
Work with legal and business teams and senior management to proactively address compliance concerns.
Perform periodic risk assessments and compliance reviews and audits, including formal CMS controls and testing procedures.
Update and disseminate company policies and procedures.
Oversee compliance program and periodically report to the President or other senior officers as the Company may designate.
Act as liaison with governmental agencies on regulatory and compliance matters, as needed.

The successful candidate:

10+ years of compliance experience in the private sector with a financial institution, preferably swap dealer / broker dealer experience
Knowledge of laws and related compliance issues as set out by FINRA / SEC
Familiarity with bank regulatory issues and laws governing financial institutions face with company’s project management and IT groups on data and privacy matters.
Ability to interface effectively with all of: company business teams, senior management and both in-house and outside counsel on regulatory and compliance issues.
Strong analytical, communication and project management skills.
Ability to work independently and take the initiative and full ownership of the role.
Compliance certifications/credentials a plus.