Head of Legal and Compliance


Company:: Michael Page International - US
Location:: New York City, NY
Job Type:: Full Time
Category:: Accounting

Yrs of Exp:: 10+ to 15 years
Posted:: 2/6/2013

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Job Description

The position reports into the CEO/General Manager and Global Head of Legal and Compliance.

Responsibilities include:

1. Oversight of federal and state regulatory requirements for the branch and its broker-dealer affiliate. Provide solutions when changes in laws or trends affect how business can be transacted. Manages external counsel for specialized legal work as necessary.

2. Directs the Corporate Compliance Program, conducts legal, transactional and compliance related research and advises management and staff on legal, compliance, business and transactional requirements.

3. Oversees all regulatory matters and coordinates with global compliance function.

4. Supports the development of, and monitors, the regulatory/ compliance risk profile of NY branch, including the development of policies and procedures designed to prevent illegal, unethical, or improper conduct.

5. Ensures that all employees are performing their jobs in compliance with the Anti-Money Laundering Laws and OFAC regulations for the U.S. Establishes appropriate training, testing and tracking relating to Anti-Money Laundering regulations minimizing the overall risk of infractions.

6. Collaborates with other departments (e.g., Risk Management, Internal Audit, Human Resources, etc.) to direct legal and compliance issues to appropriate existing channels for investigation and resolution.

7. Identifies potential areas of legal or compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.

8. Provides reports on a regular basis, and as directed or requested, to keep senior management informed of the operation and progress of compliance efforts.

Requirements:

1. Must have strong regulatory compliance experience within a foreign banking institution for 10+ years.

2. Must have experience within the investment banking and broker dealer environment. No exceptions.

3. Must be hands-on and have superior communication skills.

4. Must possess J.D. or LLM and be licensed to practice in New York State.

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