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General Counsel Consulting

General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.

Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Banking/Attorney/In House/Newark, New Jersey

Refer job# ZXTK27448

Vice President, Compliance The candidate will have the responsibility for compliance monitoring, support of marketing activities, compliance training, creating and implementing new policies and procedures, and forensic testing. Will assist in monitoring business activities to ensure they are performed in compliance with Company policy, securities laws, and SEC, FINRA, state insurance and applicable foreign regulations. Report to the Chief Compliance Officer of firm. Lead multiple projects that strengthen and maintain compliance activities more broadly across the Prudential Compliance organization. Partner with the law department on a regular basis to analyze changes to regulatory requirements and proactively manage regulatory developments and changes. Promote, protect and set the tone to reflect Prudential's reputation for ethics, integrity and honesty in all dealings. Work with all functional areas of firm management to ensure that appropriate regulatory processes and controls are established and documented. Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements. Assist management with identifying and resolving regulatory issues both within the business unit and across multiple business units. Assist business unit management with regulatory exams/inquiries and internal audits. Enhance and effectively administer a compliance monitoring program that covers the full client life cycle and each functional area. Develop, organize, and deliver consistent compliance related training, and reinforce all compliance-related communications. Focus on talent management and development of the compliance team. The candidate should have a Bachelor's degree, J.D. degree or professional designation (such as a CFA) is a plus. Should have 10+ years of asset management compliance experience. Experience in managing and developing junior compliance officers a plus. Experience with other rules and regulations under the Securities Act of 1933, ERISA, FCPA and FINRA a plus. Strong leadership skills are required, including experience dealing with senior management. Should be thoroughly knowledgeable about the SEC regulations and associated policies and procedures necessary to support an investment adviser compliance program. Systems knowledge of trading and compliance monitoring systems, including development and coding of compliance rules essential. Advanced knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 required.

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