New job Political Law Compliance New York

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Political Law Compliance New York Gerald Elliott posted a job: Political Law Compliance New York "Top-tier financial services firm is seeking a senior position within the Political Law Compliance function, reporting to the Head of the Political Law group. The position will execute and manage various aspects of the Political Law Compliance function. This will include responsibility for maintaining, promoting, and improving the risk management and control program related to regulatory requirements around pay-to-play; campaign contributions; gifts and entertainment of federal / state / local officials, lobbying; and election law. The role will focus on advisory, controls, and review/approvals related to contributions and gifts and entertainment for US public officials, ERISA personnel, labor unions, etc. In addition, the role is part of the larger Global Compliance function and will work closely with other members of the Global Markets / Municipal Finance, Equities Compliance team and senior members of the Public Finance business, Front Office management and Global Marketing to promote commercially effective programs, policies, and internal procedures to manage the business and regulatory risk associated with relevant activities. Responsibilities: • Pre-clear political activities for all businesses in the Americas, including: political contributions, pay-to-play reporting; lobbying; MSRB G-37/G-8 filing; clearing political contributions and gifts/entertainment. • Review and assess the firm’s interactions with US government officials, including the following issues: pay-to-play, lobbying, and gifts and entertainment of US government officials. • Coordinate with the firm’s Municipal Finance Compliance staff relating to the firm’s political contributions practices and policy (e.g., G-37, MFP lists, etc.). • Develop policies and procedures relating to legal and regulatory requirements covering interactions with US government officials. • Review, research, and approve/deny client gifts & entertainment and related requests that involve US public officials, ERISA personnel, labor unions, etc. • Advise business personnel relating gifts and entertainment issues involving US public officials, ERISA personnel, labor unions, etc. • Stay abreast of industry trends and practices and regulatory guidelines, developments, and changes regarding pay to play, lobbying, political contributions, gifts & entertainment rules. • Support the required regulatory filings related to the firm’s gift and entertainment activities for public officials, labor unions, etc. • Assist to develop, maintain, and promote the Firm’s global policies around client gifts & entertainment. • Assist training and communication efforts for the firm’s employees regarding client gifts & entertainment, regulations, restrictions, policies and procedures. Qualifications: • 3+ years' experience working for a law firm or regulator dealing with gifts and entertainment regulations, political law, pay to play rules or lobbying laws; or 3+ years experience in a compliance/legal role at a US broker/dealer focusing on political law issues • Knowledge in US political law and ethics issues at the state and municipal level, FINRA gift rules, and working knowledge of Foreign Corrupt Practices Act (FCPA). To apply please submit your resume to Info@compliancesearch.com"

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