Cardea Group
SVP, Control Room Compliance
Cardea Group, New York, New York, us, 10261
Our client, a diverse asset manager with over $30 billion in AUM, is seeking a competent, driven leader to oversee their control room team. This person will work closely with all members of the compliance team and be a driver of the firm’s control room function while assisting other SVPs within compliance. This is an excellent opportunity to join a firm that is successful, developing new products, and continuously growing. The firm is collaborative, fast-paced, and huge on developing internal talent.Key Points:
Opportunity to oversee an established group in a leadership role, spearheading all control room efforts while also contributing to other areas of compliancePosition is diverse in nature and with project-oriented workTremendous internal compliance team with bright, intelligent individualsAbility to make an impact on the overall success of the compliance departmentFirm is in the office 4 days/week (Monday – Thursday) and the expectation is that this person will adhere to their policy as wellResponsibilities:
Implement policies, procedures and controls around the firm’s restricted trading and watch lists; drive the continuous build out of the control room functionHandle conflicts of interests both regionally and globally; coordinate with external legal and deal professionals to identify and mitigate potential conflictsDrive control room processes and mentor junior members of the team to build a best-in-class programEvaluate and process personal trading and private investment requests that are escalated; provide support with monitoring adherence to the firm’s Information Barrier Policy and oversee communications between personnel on each parties’ sideConduct analysis as it relates to potential material nonpublic informationQualifications:
10-14 years of regulatory and/or compliance experience with some focus (current or past) in control roomAbility to lead, drive, and mentor a team to advance the control room functionExcellent written and verbal communication skills; robust work ethic with acute attention to detailStrong leadership skills coupled with organizational and time management skillsCompensation:
$175-225K base; $300-500K all-in (dependent on level)
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Opportunity to oversee an established group in a leadership role, spearheading all control room efforts while also contributing to other areas of compliancePosition is diverse in nature and with project-oriented workTremendous internal compliance team with bright, intelligent individualsAbility to make an impact on the overall success of the compliance departmentFirm is in the office 4 days/week (Monday – Thursday) and the expectation is that this person will adhere to their policy as wellResponsibilities:
Implement policies, procedures and controls around the firm’s restricted trading and watch lists; drive the continuous build out of the control room functionHandle conflicts of interests both regionally and globally; coordinate with external legal and deal professionals to identify and mitigate potential conflictsDrive control room processes and mentor junior members of the team to build a best-in-class programEvaluate and process personal trading and private investment requests that are escalated; provide support with monitoring adherence to the firm’s Information Barrier Policy and oversee communications between personnel on each parties’ sideConduct analysis as it relates to potential material nonpublic informationQualifications:
10-14 years of regulatory and/or compliance experience with some focus (current or past) in control roomAbility to lead, drive, and mentor a team to advance the control room functionExcellent written and verbal communication skills; robust work ethic with acute attention to detailStrong leadership skills coupled with organizational and time management skillsCompensation:
$175-225K base; $300-500K all-in (dependent on level)
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