- Financial Services
- Wealth Management
Major, Lindsey & Africas Interim Legal Talent group has an immediate need for an Interim Deputy Chief Compliance Officer.
RESPONSIBILITIES INCLUDE: ?
Draft compliance policies and procedures. Collaborate with business unit leaders to help create policies, procedures and a culture which sustains and strengthens compliance with federal banking and securities laws and other applicable regulations. ?
Provide practical, knowledgeable and effective advice on all compliance matters. Assist in the testing, training, and monitoring of these policies and procedures. ?
Due diligence. Conduct internal and external investigations and background checks; advise on diligence issues with respect to new and existing business. ?
Resolve compliance issues. Partner with the Company's legal, risk and internal audit teams to analyze and resolve potential compliance issues and respond to changes in regulatory requirements. ?
Continuously develop understanding of new rules and regulations. Remain current on relevant regulatory developments and best practices impacting the financial services industry.
QUALIFICATIONS INCLUDE: ?
Bachelor's and J. D. degree required. Other advanced degrees, certifications or licenses helpful. ?
Minimum eight (8) years of relevant experience in financial services and four (4) years of major law firm experience required; wealth management experience as related to trust or banking strongly preferred. ?
Experience with regulators and examinations as well as conducting internal investigations. ?
Experience with one or more of AML, ERISA, alternative assets, cybersecurity, privacy and international investment management strongly preferred.