This job has expired, please see additional jobs below
Vice President, Head of Investments Compliance
OppenheimerFunds
New York, NY, United States
Job Details - this job has expired, please see similar jobs below
Company Description
OppenheimerFunds values the talented and diverse workforce we’ve cultivated over the years. Our nearly 60-year history includes a strong tradition of providing innovative investment ideas and a world-class experience for the individuals, institutions and financial advisors we serve. Our strong foundation is built on collaboration, creativity, and the extraordinary people who play an integral role in our success every day.
Job Description
OppenheimerFunds seeks to hire a proven leader to oversee Compliance for our Investments division. This person will responsible for setting compliance standards and ensuring the framework is in place to proactively identify and manage risk. The Head of Investments Compliance will provide advice and recommendations to all levels within the organization to ensure business support and adoption, transparency, consistency in approach, and risk mitigation. Likewise, they will develop relationships with key external stakeholders – including regulatory/governing bodies – to ensure that OppenheimerFunds’ approach to compliance is proactive and preventative.
• Reporting to the Chief Compliance Officer of the firm, this person will also be responsible for:
• Providing leadership and guidance to a team of fourteen compliance professionals (four direct reports) who are responsible for Investments oversight.
• Providing advice and recommendations to Investments leadership, balancing business strategy with appropriate controls.
• Creating and conducting training programs for investment professionals Oversee a team of compliance professionals responsible for implementing pre and post trade guideline monitoring and maintenance of guideline systems and protocols
• Responsible for overseeing trade desk support and surveillance
• Maintaining productive relationships with regulatory, government and industry policy, law enforcement and intelligence agencies.
• Promoting a culture of compliance and ensuring the identification and timely mitigation of compliance risks.
• Assisting the Chief Compliance Officer in setting and driving the firm-wide compliance strategy.
• Oversee a team of compliance professionals responsible for pre and post trade employee trade monitoring, gift and entertainment and political contributions and outside business activities.
• Overseeing the documentation review for above-mentioned activities and entities.
Qualifications
• 10+ years of relevant compliance experience with strong knowledge of applicable investment advisory regulations.
• Experience interacting with regulatory/governing bodies.
• Proven ability to anticipate and provide solutions to complicated problems and be capable of presenting them in a clear and compelling manner to management.
• Strong leadership experience and the ability to recruit retain and develop great talent.
• Strong analytical skills, attention to detail and ability to exercise balanced judgment.
• High energy; motivated and adaptable; able to respond creatively to a set of issues; positive hands-on attitude.
• Excellent communication and influencing skills - ability to manage client expectations and competing priorities.
Additional Information
We are a dynamic firm that values teamwork and collaboration, and true to our history, we encourage independent thinking and provide ample opportunities for our people to stand out and make a difference. With offices in New York, Denver, Rochester and Dallas, we work hard to turn our unconventional wisdom into value for investors and pursue excellent results for ourselves and our firm. Learn more about the culture and opportunities at OppenheimerFunds here: https://careers.oppenheimerfunds.com
OppenheimerFunds and its subsidiaries and affiliates provide equal employment opportunity to all qualified individuals without regard to age, color, disability, gender, marital status, national origin, race, religion, sexual orientation, gender identity and expression, physical or mental disability, genetic predisposition or carrier status, veteran status, or any other characteristic protected by law in all employment functions including recruitment, evaluation, selection, promotion, compensation, benefits, training, and termination of employment.
Note that this posting is intended for individual applicants.
#LI-VV1