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Brown Brothers Harriman
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Larson Maddox
New York, NY | Full Time
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Vendor Vetting Compliance
Larson Maddox New York, NY
$91k-115k (estimate)
Full Time 1 Week Ago
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Larson Maddox is Hiring a Vendor Vetting Compliance Near New York, NY

A highly reputable hedge fund is seeking a Vendor Vetting Compliance Officer to join their growing team. The ideal candidate will have experience in Network Sales, Vendor Vetting, and strong understanding of SEC and state laws

Responsibilities:

  • Collaborate with team members on research compliance, working closely with investment staff and other firm members.
  • Conduct due diligence reviews and prepare reports on data and research vendor relationships, focusing on vendor policies, data usage rights, and compliance with laws.
  • Review and approve expert network requests, chaperone calls, and document meeting notes.
  • Review and track web scraping requests for policy compliance.
  • Support the Research Compliance team on issues related to non-public information and data matters.
  • Stay updated on laws, regulatory changes, and data privacy regulations.
  • Assist with regulatory requirements and enforce compliance policies.
  • Escalate issues to Compliance management as needed.
  • Handle ad-hoc requests as required.

Education/Experience & Qualifications:

  • Bachelor's Degree required; JD is a plus.
  • Minimum 5 years of relevant legal or compliance experience.
  • Financial services industry experience preferred; due diligence experience a plus.
  • High professionalism in interactions with internal and external parties.
  • Strong organizational, research, and multitasking skills.
  • Ability to work independently in a high-intensity environment.
  • Excellent written and verbal communication skills.
  • Exceptional attention to detail.

Job Summary

JOB TYPE

Full Time

SALARY

$91k-115k (estimate)

POST DATE

06/13/2024

EXPIRATION DATE

07/11/2024

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