SVP, Control Room Compliance

Our client, a diverse asset manager with over $30 billion in AUM, is seeking a competent, driven leader to oversee their control room team. This person will work closely with all members of the compliance team and be a driver of the firm’s control room function while assisting other SVPs within compliance. This is an excellent opportunity to join a firm that is successful, developing new products, and continuously growing. The firm is collaborative, fast-paced, and huge on developing internal talent.

Key Points:

• Opportunity to oversee an established group in a leadership role, spearheading all control room efforts while also contributing to other areas of compliance
• Position is diverse in nature and with project-oriented work
• Tremendous internal compliance team with bright, intelligent individuals
• Ability to make an impact on the overall success of the compliance department
• Firm is in the office 4 days/week (Monday – Thursday) and the expectation is that this person will adhere to their policy as well

Responsibilities:

• Implement policies, procedures and controls around the firm’s restricted trading and watch lists; drive the continuous build out of the control room function
• Handle conflicts of interests both regionally and globally; coordinate with external legal and deal professionals to identify and mitigate potential conflicts
• Drive control room processes and mentor junior members of the team to build a best-in-class program
• Evaluate and process personal trading and private investment requests that are escalated; provide support with monitoring adherence to the firm’s Information Barrier Policy and oversee communications between personnel on each parties’ side
• Conduct analysis as it relates to potential material nonpublic information

Qualifications:

• 10-14 years of regulatory and/or compliance experience with some focus (current or past) in control room
• Ability to lead, drive, and mentor a team to advance the control room function
• Excellent written and verbal communication skills; robust work ethic with acute attention to detail
• Strong leadership skills coupled with organizational and time management skills

Compensation:  $175-225K base; $300-500K all-in (dependent on level)