Director, Global Head of Employee Compliance - Elite Investment Bank (jacksonville, florida)
Company Description:
Job Description:
Job
Responsibilities:
Responsible for developing and managing FIRMs employee compliance program on a global basis including the associated policies, procedures and controls.
Training, managing and leading Employee Compliance staff located in multiple jurisdictions in a manner designed to achieve the highest results Enhancing the Department's Employee Compliance program on a global basis, taking into account global minimum standards, local regularly requirements and industry best practices Working with local Compliance Officers, business staff, IT and other infrastructure functions on multi:
year initiatives to redesign and upgrade existing process and systems, including an end:
to:
end business process analysis and re:
design of the Employee Compliance function generally Acting as a key member of the management team of Central Compliance, and working to implement the global Central Compliance strategy Ensuring and demonstrating that consistent delivery and service levels are maintained Developing, producing and circulating globally consistent Key Performance Indicators and Key Risk Indicators relevant to the Employee Compliance program Drafting, approving, and updating reports, policies and procedures Understanding the broader Departmental strategy and adapting processes / services accordingly Building internal and external relationships to key stakeholders, and communicating across all levels of the organization (including senior management) May require periodic (monthly or quarterly) travel Skills Needed To Be Successful In This Role:
10
years of Compliance experience at a regulator, exchange, Central Bank or large, regulated financial institution in an international setting, with a strong background in employee compliance matters Strong knowledge of securities and banking laws, rules and regulations, especially those relevant to employee conduct and management of potential conflicts of interest Experience in making formal (written and oral) presentations in a corporate setting Project Management training or business process re:
engineering experience a strong plus, especially in the context of designing and implementing IT systems and automation of processes Analytical, process:
oriented mindset Great attention to detail, coupled with strong problem solving skills A pro:
active, results:
oriented approach with strong drive and initiative Well:
developed relationship:
building skills and communication / influencing skills, that will facilitate the successful change of policies, procedures and operations in a complex environment in a global organization University degree, preferably in Finance, Business, Accounting or Economics Relevant post grad degree (e.
g.
MBA, JD, Computer Science degree) a plus Compensation /
Benefits:
175,000 :
200,000 Base
Bonus (225,000 :
325,000 Total Compensation) Source:
.
Estimated Salary: $20 to $28 per hour based on qualifications.
Job Description:
Job
Responsibilities:
Responsible for developing and managing FIRMs employee compliance program on a global basis including the associated policies, procedures and controls.
Training, managing and leading Employee Compliance staff located in multiple jurisdictions in a manner designed to achieve the highest results Enhancing the Department's Employee Compliance program on a global basis, taking into account global minimum standards, local regularly requirements and industry best practices Working with local Compliance Officers, business staff, IT and other infrastructure functions on multi:
year initiatives to redesign and upgrade existing process and systems, including an end:
to:
end business process analysis and re:
design of the Employee Compliance function generally Acting as a key member of the management team of Central Compliance, and working to implement the global Central Compliance strategy Ensuring and demonstrating that consistent delivery and service levels are maintained Developing, producing and circulating globally consistent Key Performance Indicators and Key Risk Indicators relevant to the Employee Compliance program Drafting, approving, and updating reports, policies and procedures Understanding the broader Departmental strategy and adapting processes / services accordingly Building internal and external relationships to key stakeholders, and communicating across all levels of the organization (including senior management) May require periodic (monthly or quarterly) travel Skills Needed To Be Successful In This Role:
10
years of Compliance experience at a regulator, exchange, Central Bank or large, regulated financial institution in an international setting, with a strong background in employee compliance matters Strong knowledge of securities and banking laws, rules and regulations, especially those relevant to employee conduct and management of potential conflicts of interest Experience in making formal (written and oral) presentations in a corporate setting Project Management training or business process re:
engineering experience a strong plus, especially in the context of designing and implementing IT systems and automation of processes Analytical, process:
oriented mindset Great attention to detail, coupled with strong problem solving skills A pro:
active, results:
oriented approach with strong drive and initiative Well:
developed relationship:
building skills and communication / influencing skills, that will facilitate the successful change of policies, procedures and operations in a complex environment in a global organization University degree, preferably in Finance, Business, Accounting or Economics Relevant post grad degree (e.
g.
MBA, JD, Computer Science degree) a plus Compensation /
Benefits:
175,000 :
200,000 Base
Bonus (225,000 :
325,000 Total Compensation) Source:
.
Estimated Salary: $20 to $28 per hour based on qualifications.
|
|
 | |
