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Subject: Director, Alternative Investments Compliance Officer, New York, NY

Alice Morgan posted a job: Director, Alternative Investments Compliance Officer, New York, NY

"Well regarded investment bank seeks a Director of Alternative Investments to lead and manage the compliance team responsible for advising the broad network of branch offices, in addition to the different functional units. The Compliance team works closely with management, sales, trading, operations, technology and other areas to help ensure that high net worth and advisory businesses complies with Firm policies and procedures in addition to the requirements of the regulatory authorities, including but not limited to the SEC, FINRA, MSRB and state securities regulators. Main Duties: * Provide support for a newly created platform catering to corporate and executive services, including restricted stock/144 sales, block sales, 10b5-1 plans and stock option administration plans. * Monitor regulatory developments, new rules and rule updates. * Development of policies, procedures and supervisory controls. * Assist the Compliance Monitoring and Testing team to conduct independent reviews of the platform. * Conduct employee training. * Conduct risk assessments for gaps in internal policies and procedures. * Advise on product specific regulatory requirement, reasonable basis suitability, customer suitability requirements, supervisory controls procedures, communication with clients, training, and compliance and control testing. Qualifications: * 7+ years of capital markets compliance experience. * 5+ years of working experience in regulatory. * 2+ years of experience in developing appropriate risk-based solutions. * Strong knowledge of all rules applicable to alternative investments (hedge funds, private equity, managed futures, real assets). * Strong experience in managing relationships with key stakeholders. * Excellent understanding of regulatory control framework. * Knowledge of Broker-Dealer operation and sales and trading functions a plus. * Excellent verbal, written and communication skills. * Ability to influence positive outcomes across a wide variety of business areas. * Experience of developing policy, assessing risks, implementing procedures, training, monitoring and review. * Ability to analyze information and processes in light of regulatory requirements, both in the development of new processes and analysis of identified issues. To apply please submit your resume to info@compliancesearch.com"

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