Director, RJIM Compliance Monitoring

Essential Duties and Responsibilities + Supports the development, implementation, and oversight of compliance policies, procedures, and testing programs in accordance with Rules 38a-1 and 206(4)-7. + Supports team of associates responsible for testing and monitoring. + Supports portfolio compliance rule writing, rule testing and monitoring of Bloomberg AIM trading systems. + Identifies risk and develops testing and monitoring activities to reduce or mitigate the identified risk. + Familiar with portfolio compliance and performance measurement principles. + Partner with Legal, Risk and Compliance colleagues to manage corrective action plans and ensure regulatory compliance across all business functions + Minimizes the firm's risk exposure while balancing business concerns. + Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates. + Stays abreast of '40 Act regulatory matters and assists with exam preparedness efforts. + May serve as a liaison between the organization and industry regulators by responding to inquiries, audits, complaints, and investigations. + May serve as a liaison between the organization and industry committees such as

SIA , FSI

, and FINRA . + Reviews compliance and risk management controls and recommends appropriate changes, as required. + Coordinates the preparation and submission of regulatory filings and maintains required compliance documents. + Serves as expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations. + May oversee compliance exception reporting processes and take appropriate action, as required. + May draft and update written supervisory procedure manuals required by the SEC , if applicable. + Continually evaluates department structure and strategic plan, considering future growth as needed. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service. + Ensures processes and procedures support efficient and timely workflow. + Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities Advanced Knowledge of:

+ Experience and understanding of '40 Act regulatory landscape, examinations and areas of enforcement priorities + Experience and understanding of SEC Investment Company and Investment Advisers Act Rules + Concepts, practices, and procedures of securities industry compliance. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory agencies. + Understanding of U.S. investment/securities products, operations, and regulatory frameworks + Financial markets and products. + Investment concepts, practices and procedures used in the securities industry.

Advanced skill in:

+ Administering regulatory notifications and filings. + Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Investigating compliances issues and irregularities. + Making rule-based and analytical decisions. + Identifying and applying appropriate compliance monitoring procedures and tests. + Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally. + Preparing oral and/or written reports. + Project management skills and experience sufficient to successfully complete long and short-term projects. + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

+ Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. + Attend to detail while maintaining a big picture orientation. + Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives. + Establish and communicate clear directions and priorities. + Gather information, identify linkages and trends, and apply findings to operations. + Maintain currency in laws, rules and regulations related to compliance in assigned functional area(s). + Work independently as well as collaboratively within a team environment to resolve problems. Educational/Previous Experience Requirements + Bachelor's Degree (B.A./B.S.) in a related discipline required with a Master's degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry. + Minimum five (5) years' management experience within the financial services industry. or + Any equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications + None Required. + Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred. To view full details and how to apply, please login or create a Job Seeker account