A leading financial services firm is seeking a senior compliance officer responsible for creating, maintaining, and testing customized compliance programs that apply to each of the financial instruments owned by its clients. The VP will create and sustain strong relationships with institutional investors. Knowledge of instruments including equities, fixed income, and derivatives is central to the position. Other Responsibilities: * Contribute to a team responsible for providing post-trade investment compliance reporting to institutional clients * Regularly communicate with clients (in person, over the phone and electronically), negotiating solutions which match client requirements with technical feasibility * Lead compliance rule coding via inputs to the compliance system * Provide technical input, including compliance system functionality as well as investment instruments, in client meetings and internal/external conference calls * Scope client requirements against that of the firm's proprietary compliance system and perform maintenance to the clients' accounts and overall client relationship * Discuss industry practice, product development, and evolving regulations with clients Qualifications: * At minimum, 3-7 years of related professional experience is required * Bachelor's Degree, at minimum, in business, finance, economics, or related area * A successful candidate would have at least two, ideally three of the following key attributes, demonstrated by suitable experience: · Investment compliance monitoring and/or reporting · Client service skills, including strong client-facing/presentation ability · Superb technical aptitude, ideally with logic-based systems and Microsoft Excel · Excellent financial instrument knowledge, including derivatives functionality · Direct management experience * Ability to utilize existing knowledge or act as a self starter to swiftly acquire working knowledge of proprietary systems and applications * Excellent written and verbal communication * Strong analytical and organizational skills * Additional certifications and/or degrees (CFA, MBA), and/or staff management are a plus Please contact Matthew Gallira at Huxley Associates for further detail.
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