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US-NY: New York-Capital Markets Sr. Mgr Securities Compliance

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Job Title:     Capital Markets Sr. Mgr Securities Compliance
Job Location:  NY: New York
Pay Rate:      Open
Job Length:    full time
Start Date:    2007-04-28

Company Name:  Mindstaff
Contact:       Recruiter
Phone:         212-709-8350
Fax:           email only

Description:   Our client's Capital Markets practice is a global leader in helping clients improve their capabilities for managing the risks associated with operating in the global marketplace.  With specialization in all areas of financial and operational risk, our cross-functional team includes more than 300 former risk managers, traders, investment managers, regulators, middle office and operations managers, and technology application specialists.  Our investment management clients include investment advisers, mutual fund, hedge fund, and private equity fund managers, and the individuals and organizations involved in supporting their operations.

The Financial Services Industry group within Capital Markets is seeking Senior Manager candidates to join our experienced financial services consulting team based in New York.  As a Senior Manager, you will leverage your knowledge and experience to manage the delivery of risk, technology and operations solutions to our securities industry clients.  This position will focus on helping our client with regulatory and compliance issues. It will focus on regulatory reporting requirements and the supporting systems as well as the process and procedures supporting a sophisticated compliance function.

You will be responsible for managing complex engagements with multiple workstreams and stakeholders, delivering and advising on operational risk and control assessments, managing the development of business and technology requirements, documenting policies and procedures, and managing the selection, implementation and testing of systems which support investment operations.  You also be responsible for assisting in the management and development of the practice by leading sales, marketing and proposal efforts and by building eminence for the practice - through speeches, articles, and contributions to practice methodologies.

The ideal candidate will be a motivated self-starter who works well independently or as part of a team.  The candidate should have:
    Ten or more years experience in the securities  industry - at a broker dealer organization, service provider, or an securities consulting firm
    Working knowledge of front middle and back office systems
    Depth of understanding in more than one of the following:
o       Investment management operations
o       Risk management practices and methodologies
o       Regulatory issues affecting the securities industry
o       Broker/Dealer Examination process and reviews
o       Knowledge of SEC, NYSE and NASD Regulatory reporting requirements
o       Knowledge of the sourcing for regulatory reporting data, compilation and processes
o       Regulatory and compliance technologies
    A BA/BS in an analytical, IT, business or finance related field.  CPA, MBA or MA/MS in finance or accounting preferred
    Project management experience including the application of standard project management methodology
    Experience managing and motivating large teams of individuals
    Experience effectively interfacing with senior management and executives
    Strong communications skills oral and written
    Ability to team and network within the organization and externally with clients and through association membership
    Willingness to travel (extensive travel may be involved)

Proficiency in Microsoft Office products, including Excel, Word, PowerPoint, Visio, Access and Project, is also required.

please email all resumes to j@mindstaff.com

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