Banking/Attorney/In House/Waukesha, Wisconsin Counsel Jobs in Wisconsin - 68795 | Submit Resume | General Counsel Consulting
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Melinda Burrows
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Banking/Attorney/In House/Waukesha, Wisconsin
Refer job# AWXZ68795
 
Compliance Consultant 4 The candidate will work within the banks Funds Management Group (FMG). Will be a critical member of a growing Risk and Compliance team. Responsible for developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements. Works with assigned business units and provides compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in all business activities. Develops testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations. Consults with business to develop corrective action plans and effectively manage change to ensure regulatory compliance. Identifies training opportunities; may design/coordinate the development of training materials and delivers training. Reports findings and drafts recommendations to compliance risk and business line management. Coordinates production of periodic compliance performance reports for senior management, including recommended strategies. May manage project teams and provide guidance to less experienced specialists/consultants.

A J.D. or other advanced degree will be preferred. 8+ years of compliance/legal experience with a focus on the investment adviser industry or regulatory agency including 3+ years of experience compliance/legal experience with subadviser/service provider oversight, evaluation and due diligence. Some experience in federal securities laws, primarily the Investment Advisers Act, industry practices, and other regulatory requirements relating to investment advisers is required. Should have 6+ years of experience in compliance, operational risk, IT systems security, business process mgmt, or financial services, of which at least 3 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the mgmt. of a process or business with accountability for compliance or operational risk). Must possess proven ability to work independently to set goals, organize priorities, and establish and adhere to deadlines. Demonstrated ability to apply critical thinking talents to make independent assessments, articulate recommendations and defend conclusions will be required. Prior experience creating, executing and documenting compliance testing required. Should have proficiency with MS Office suite of applications. Must possess strong oral and written communication skills and must have the ability to function cooperatively and build consensus on compliance issues. Portfolio Manager due diligence; participation in due diligence meetings with existing and potential advisers; compliance experience in hedge funds/private placements; experience developing and implementing policies and procedures designed to comply with all relevant securities rules and regulations; experience addressing risks investment adviser clients are exposed to including conflicts of interest; proven ability to identify and correct deficiencies in compliance processes and procedures that may lead to internal and/or regulatory non-compliance; experience working with portfolio managers, investment committees, traders, marketing and operations teams to advise on or help resolve compliance issues; and international compliance experience, including UCITS.
 
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