Director, Head of Compliance Executive Support

About this role

As Head of Compliance Executive Support, you will engage with the firm’s top senior leadership to assure relevant personal activities are executed in alignment with the firm’s conflicts policies and regulatory requirements. You will be the single point of contact for these global leaders across each region and business line and will work closely with local, regional, and global teams, internal business stakeholders and external brokers/family offices to provide them with compliance and regulatory advice on a range of personal-conflicts related matters and issues. You will partner with the Head of Employee Compliance Policy & Advisory and the Head of Employee Compliance Operations to deliver the Personal Conflicts program within the context of often complex activities, taking into account the inherent risks associated with high profile leadership roles and responsibilities. You will assure activities such as personal trading, private investments, outside business activities, gifts and entertainment and political contributions are handled timely and in accordance with firm policy and regulatory requirements. The incumbent will work with the head of Enterprise Compliance (EC) to identify and implement a sustainable operating model to assure the control framework can be delivered timely, efficiently and at scale.

We are seeking an individual with exceptionally strong relationship management skills, experience delivering sound advice, addressing priorities of C-suite and firm leaders across business lines and regions, and demonstrated expertise balancing risk and reputational considerations. People and team management skills are required, with current or past functional experience in financial services preferable. A strong background in conflicts management, code of ethics and employee conduct is helpful, ideally in the asset management or banking industry.

Key Responsibilities

As a senior compliance professional, you will be responsible for:

• Providing sound advice directly (and through family office / brokers) to senior leaders globally on a wide range of personal conflicts / activities matters and assuring ‘high touch’ approach, particularly on sensitive matters.
• Acting as a single, trusted point of contact and counselor for senior leaders, connecting them to colleagues across the Legal & Compliance department as needed, helping them navigate L&C and acting as a conduit for key messaging / activities
• Aligning with counterparts across Employee Compliance to assure fulsome understanding of related policies and programs and consistency of advice and practices.
• Contributing to Employee Compliance program evolution and continuous improvement by assuring feedback loop to counterparts in Policy/Advisory and Operations teams
• Participating in global and/or regional compliance initiatives to implement new requirements and ensure practical approach to risk management.
• Understanding local and regional regulatory developments and being able to articulate their impact on constituents / related programs
• Consulting with regional and global compliance and business colleagues, as necessary.
• Evaluating, recommending and implementing optimal operating model to appropriately manage Compliance programs senior levels

Qualifications:

• A minimum of 15 years of relevant working experience in a relationship management capacity, focusing on Legal and/or Compliance matters at a consultancy or asset management / financial services firm. Other backgrounds with deep relationship management experience considered.
• Demonstrated executive presence and ability to operate with C-suite personnel, delivering timely, practical and sound advice.
• Ability to communicate effectively, concisely and with confidence, both written and verbal; experience presenting complex ideas and delivering challenging messages to senior leaders
• Background in employee conduct, conflicts management, operational processes and/or other enterprise compliance programs preferred.
• Strong attention to detail, responsiveness and resourcefulness in navigating large, complex organizations to ascertain accurate information / address queries
• Ability to motivate, coach and develop teams, regardless of reporting lines, to deliver quality outcomes.
• Ability to work across regions and functions to deliver practical, risk-minded advice and innovative solutions that reflect business priorities.
• Ability to influence and demonstrate impact in engagement with key internal and external business stakeholders of all corporate titles.
• University degree preferred.

 

For New York, NY Only the salary range for this position is USD$173,500.00 - USD$270,000.00 . Additionally, employees are eligible for an annual discretionary