What are the responsibilities and job description for the Compliance AVP position at Coda Search│Staffing?
A sovereign wealth fund is growing quickly and looking to build out it's compliance team. This is an AVP level position that will work across all areas of compliance and governance within the fund.
Responsibilities:
- Stay up to date with US laws and regulations and produce applicable reports
- Present regulatory reports and make strategic recommendations and action plans
- Help maintain company procedures and policies in relation to regulatory requirements and business needs
- Develop training materials for the compliance program
- Monitor personal trading
- Handle new hire training on day one
- Train new hires and existing employees on compliance initiatives
- Oversee the recordkeeping for the firm in relation to regulatory requirements
- Assess potential conflicts of interest
- Collaborate with parent company compliance and governance team
Qualifications:
- Bachelors degree
- Law degree a plus (LLB, LLM or JD)
- 10-15 years of experience
- Experience in drafting company policy and procedures
Salary : $175,000 - $250,000
