Restricted Securities Compliance Advisory

Join a top soveriegn wealth fund as they look to build out their New York Compliance Practice. The role will involve all aspects of compliance, from advisory to more core compliance elements of policies and procedures, code of ethics, etc.

Client Details

Client is a large sovereign wealth fund.

Description

Ethics and Compliance Programs

• Lead the execution of ethics and compliance initiatives within assigned corporate or business functions in alignment with the Group program.

• Support the identification, evaluation, and analysis of key ethics and compliance risks and emerging issues.

• Review audit findings to inform the development of effective risk mitigation measures.

• Monitor developments in assigned risk areas to ensure risks are properly managed and aligned with compliance standards.

• Design and implement training programs to enhance awareness and understanding of corporate governance and ethics across the organization.

• Maintain a comprehensive training plan and reporting system to ensure continuous learning for all employees.

• Develop and roll out communication strategies to promote awareness and foster a strong ethics and compliance culture.

• Oversee business partners and service providers to ensure the delivery of high-quality, cost-effective ethics and compliance services tailored to organizational needs.

• Stay informed of regulatory changes and best practices to support the enhancement of governance processes across the company.

• Identify opportunities for improving systems, policies, and processes by incorporating international best practices.

• Provide strategic input to support the development and refinement of functional systems and procedures that align with business goals.

Profile

• Holds a bachelor's level degree in law or a related field from a globally recognized institution.

• Possesses relevant professional certification such as the Certified Compliance and Ethics Professional (CCEP) or an equivalent.

• Brings a minimum of 9 years of progressive, senior-level experience in ethics, compliance, or regulatory enforcement management.

• Preferably has worked in a top-tier international organization or across various industries in the United States.

• Additional relevant experience is considered an asset.

• Demonstrates solid understanding of the firm's Investment Company's operations across multiple sectors.

• Strong grasp of ethics and compliance frameworks and techniques, with the ability to apply global best practices to the firm's unique business context.

• In-depth knowledge of both local and international ethics and compliance regulations, laws, and standards.

• Excellent interpersonal and communication skills, with the ability to engage effectively with stakeholders at various organizational levels on ethics and compliance issues.

• Reports to the Director - Ethics & Compliance or the Head - Ethics & Compliance, consulting with them on key strategic and critical matters.

• Leads the planning and execution of ethics and compliance projects, contributing to the delivery of the function's objectives.

• Supports and advises leadership in effectively rolling out initiatives aligned with the the firm/ group's ethics and compliance program.

• Expected to make decisions on matters that have significant impact on the ethics and compliance function.

Job Offer

Candidate will be the first compliance officer in the New York office with a wide exposure to the overarching firm and high level of influence.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.