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US-NY: New York-Regulatory Compliance Manager (Global Consulting firm)

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Job Title:     Regulatory Compliance Manager (Global Consulting firm)
Job Location:  NY: New York
Pay Rate:      Open
Job Length:    full time
Start Date:    2007-04-30

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

Description:   Our client's Financial Services Advisory (FSA) unit is a specialty advisory practice that provides integrated market, credit and operational risk management; operations improvement, business integration, and strategic cost management; and regulatory and treasury advisory services to financial institutions and other capital markets participants. FSA includes individuals who have industry, client and product knowledge as well as quantitative, regulatory, project management and technology professionals. Our teams work together to coordinate the delivery of risk management, regulatory and business performance services to a variety of clients, including commercial banks, investment banks, broker-dealers, asset managers, insurance and energy trading companies, and other organizations.

The Regulatory Compliance Manager focuses on managing people and projects to budget, product development, and service delivery.

Apply in-depth knowledge to lead an engagement team while demonstrating a fairly broad understanding of regulatory compliance of investment advisers and investment companies from an SEC perspective.

To qualify, candidates must have:

- a bachelor's degree (in accounting or finance preferred); advanced degrees in law or business a plus
- a minimum of 6 years of experience working in the investment management industry with an investment adviser or investment company complex (with at least some experience in a supervisory role)
- SEC Division of Investment Management experience a significant plus
- understanding of and experience with the registration of new investment advisers, drafting written supervisory procedures, conducting compliance audits of investment management operations, etc.
- strong knowledge of the financial services industry, and its products and practices
- additional knowledge of ERISA or state Blue Sky laws a plus, but not required
- the ability to respond to client needs and sustain client relationships, as well as outstanding interpersonal skills
- flexibility, initiative, strong decision-making and problem-solving skills, and sound professional judgment
- a willingness and ability to manage and supervise engagement teams and complex projects through all phases
- strong communication, presentation, client service and technical writing skills, coupled with a strong interest in further developing compliance knowledge

Successful candidates must also have the ability to travel approximately 30%-50%.

please email all resumes to recruit@mindstaff.com for prompt consideration

For FASTEST PROCESSING of your resume, please visit http://www.jobcircle.com/classifieds/500566.html?source=ng to apply online.

For fastest processing of your resume, this employer asks that
you apply to this job using the URL above.

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