Overview
Compliance AVP Jobs in New York City Metropolitan Area at Coda Search│Staffing
Title: Compliance AVP
Company: Coda Search│Staffing
Location: New York City Metropolitan Area
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
