Senior Compliance Officer - 18 month contract

Overview

The Sr. Compliance Officer (COI) is responsible for identifying and implementing strategies intended to mitigate the firm's regulatory and financial risks related to conflicts of interest. The Sr. Compliance Officer (COI) is additionally responsible for the development, implementation, and ongoing supervision and management of the Conflicts of Interest program to meet internal standards and regulatory requirements and expectations.

Note: This is an 18 month contract position.

Key Responsibilities

• Supervisory functions related to the review of business promotion and sponsorship requests with the authority to approve and/or reject requests as well as the review of gifts and entertainment records and reports.
• Identification of potential issues and/or trends and patterns and effectively addressing observations and compliance concerns with appropriate stakeholders, as deemed necessary.
• Provision of compr...