New job Political Law Compliance – AVP/VP

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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 – AVP/VP Gerald Elliott posted a job: Political Law Compliance – AVP/VP "Global Financial Services Firm Seeks Political and Election Law Regulatory Officer New York, NY 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 & 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 & 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 with members of the Global Markets, Municipal Finance and Equities Compliance teams and with 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: pay-to-play reporting; lobbying; MSRB G-37/G-8 filing; and 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 & entertainment. • 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 or deny clients’ gifts & entertainment and related requests that involve US public officials, ERISA personnel, labor unions, etc. • Advise business personnel relating gifts & 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, and 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 & entertainment regulations, political law, pay-to-play rules or lobbying laws; or 3+ years experience in a compliance or 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, knowledge of FINRA gift rules and working knowledge of Foreign Corrupt Practices Act (FCPA). To apply please submit your resume to Emma Savadier – emma@compliancesearch.com"

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