If you’re passionate, curious and ready to make an impact, we’re looking for you to help us grow our businesses for the future.

As a Compliance Vice President - Fund Servicing  within the Securities Service Operations, you will be  exposed to a wide gamut of financial products, including Equities, Fixed Income securities and Complex Assets. You will be responsible for interpreting guidelines, building investment rules, investigation of potential violations and partnering with the investment manager and/or the client to assess their needs and provide solutions. 

 

Job Responsibilities:

Stay abreast on regulatory developments, product development and industry trends related to post-trade compliance, providing insights and foster information sharing across the business. Review metrics around the team's activities to make objective and data driven decisions to aid performance evaluations. Collaborate with global stakeholders on an ongoing basis to achieve business goals along with planning & implementation of product/technology enhancements.  Interact closely with Auditors (external and internal) for smooth and timely audit compliance. Supervise and build a strong Investment Compliance team by creating a culture of ownership, communication, efficiency, and strategic decision making. Coach and develop staff including formal objective setting, performance reviews. Review metrics around the team's activities to make objective and data driven decisions to aid performance evaluations.

Required qualifications, capabilities and skills:

Minimum of 12 years’ work experience in financial services industry, Mutual fund, Stock broking or related industry. Extensive experience in post-trade compliance roles within investment banks, asset management or brokerage firms. Proficiency in relevant software applications and systems used for post-trade compliance monitoring and reporting. Exhibit knowledge of asset management industry including operation of mutual, pension, insurance, and hedge funds High standard of accuracy and strong attention to detail Proven leadership skills with the ability to effectively manage a team and drive results in a fast-paced environment. Excellent written, communication and interpersonal skills to build trusted relationship with internal stakeholders, regulators, and external stakeholders.

 

Preferred qualifications, capabilities and skills:

Advanced degree or professional certification including but not limited to CA, CPA, CFA, CS, FRM qualifications preferred. Certification course in CRD, SOX, 1940 Act, European regulations preferred. Graduate/Post graduate degree