Asset Management Compliance Officer
1 month ago
Larson Maddox is a Regional Investment Bank seeking a seasoned Compliance talent to collaborate with our dynamic team.
We are dedicated to providing our clients with innovative investment solutions while maintaining the highest standards of compliance and governance.
JOB RESPONSIBILITY
- Implement and maintain comprehensive compliance policies and procedures tailored to our asset management strategies.
- Develop and oversee compliance risk assessments, identifying and mitigating potential compliance issues in investment operations.
- Lead training initiatives to ensure that all staff are informed about compliance requirements and best practices.
- Collaborate with senior management, investment teams, and external regulators to foster a culture of compliance and transparency.
- Manage the audit process, ensuring timely and accurate submissions of compliance documentation and reports.
- Prepare and present regular compliance reports to senior leadership, highlighting key issues and recommendations.
JOB REQUIREMENTS
- Bachelor's degree in Finance, Law, Business Administration, or a related field; advanced degree or professional certifications are preferred.
- A minimum of 10 years of experience in compliance within asset management.
- In-depth knowledge of the regulatory environment governing asset management.
- Strong analytical and problem-solving skills.
- Excellent communication and interpersonal skills, with the ability to influence stakeholders at all levels.
- Proficient in compliance management systems and tools.
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