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    Compliance Counsel - New York, United States - Larson Maddox

    Larson Maddox
    Larson Maddox New York, United States

    3 weeks ago

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    Description

    Excited to be partnering with a well-respected Investment Form with over $10 billion in assets, global offices, and a prestigious reputation. They are seeking a motivated individual to come join their compliance team as Compliance Counsel, assisting with the firms compliance blueprints and ethics.

    The Role:

    This position will be responsible for the development and management of the Ethics and Compliance policies and procedures, helping to lead the delivery of department projects for the assigned corporate/business function(s) in line with the ethics and compliance program to ensure compliance with applicable laws, regulations and policies, ethical operations, as well as the identification and mitigation of ethics and compliance risks.

    Responsibilities:

    • Take charge of researching both local and international laws and regulations to keep the client up-to-date and ensure their adherence. This includes spearheading the implementation of internal policies and procedures.
    • Scrutinize all ethics and compliance policies and procedures to ensure they comply with applicable laws and regulations.
    • Set up and oversee a system and workflow for reviewing, approving, and updating internal ethics and compliance policies and procedures.
    • Oversee the monitoring and enforcement of ethics and compliance policies and procedures to guarantee compliance with corporate and governance standards.
    • Engage in the process of identifying, assessing, and analyzing significant ethics and compliance risks and emerging issues pertinent to the client's operations. This involves examining both internal and external audit findings to devise and execute efficient measures related to ethics and compliance.
    • Take charge of overseeing specific risk domains by keeping abreast of developments within those areas. The aim is to ensure that risks are adequately addressed and aligned with established standards.

    Qualifications:

    • Bachelor's from 4 year credited University
    • Master's in Legal Studies or J.D. is a plus
    • Relevant certifications such as CCEP or similar

    Experience:

    • 8+ years of experience mid-senior level ethics and compliance or regulatory-enforcement management role
    • Experience in top tier firm (international preferred)
    • Industry specific experience is required

    This is a hybrid role located in New York, New York with a base salary range of $190,000 to $210,000, dependant upon expereince, and a competitive bonus package.

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