Director of Compliance
Retirement Fund
New York City, NY (Hybrid – one day per week in-office)
Why Join Us:
- Opportunity to join a large stable business and lead the compliance operations function
- Play a critical leadership role, reporting directly to the Chief Legal Officer
- Conveniently located offices in Midtown Manhattan
Responsibilities:
- Reporting to the Chief Legal Officer, the Director of Compliance oversees and manages the Fund’s compliance program to ensure that the organization is upholding best practices, fostering ethical behavior and maintaining standards and operates in accordance with regulatory requirements, law and policies
- As the compliance leader, you will be responsible for analyzing and assessing strategic, financial, compliance, and operational risks across the Fund’s operations and, in coordination with operational and compliance subject matter experts designing and stewarding effective compliance management strategies, structures, and processes
- Develop and recommend enhancements to established compliance framework designed to identify, prevent, detect and mitigate violations of applicable law or Fund’s policies
- Responsible for implementing and maintaining compliance monitoring, updating policies & procedures, reporting, testing, and applying regulatory guidance as well as industry best practices, and identifying and managing regulatory risk with internal controls
- Work with the business to resolve significant breaches and violations of such policies, and external reporting when required
- Promote, protect, and set the tone to reflect the Fund’s reputation for ethics, integrity, and honesty in all dealings
- Assist the management team in dealing with regulators, auditors, and operations regarding regulatory exams and inquiries
- Provide compliance support for new product initiatives
- Integrate industry benchmarking and best practices through ongoing research, education, and industry affiliations
- Collaborate with the legal team to analyze changes to regulatory requirements and proactively manage regulatory developments and changes
- Identify, develop, organize, and deliver necessary compliance related training, and reinforce all compliance-related communications
- Collaborate with the ERM team and operations in general to address necessary compliance related changes
Requirements:
- Essential Education: Bachelor’s degree
- Preferred Education: Advanced Degree
- You must have significant retirement/pension compliance experience, including a strong knowledge of regulations, ERISA, and retirement/pension operations
- It is essential that you reside within a commutable distance of New York City – the position requires the individual to be in office one day per week
Application Process for Director of Compliance:
Qualified professionals should submit their resume to Steve Harrison: steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
