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Chief Compliance Officer
Manhattan, New York
6/10/2019
JO-1906-951

Chief Compliance Officer
 
Location:  Manhattan, New York   (address is 135 E 57th St., Suite 08B102, New York, NY 10022)
 
At Capvision, we remain committed to client protection. As such, our Compliance structure is an integral part of Capvision’s business. We are seeking to grow our global team and maintain compliance excellence with a New York City-based Chief Compliance Officer. The main purpose of this role is to support the compliance requirements of the business in the U.S.
 
Summary:
Capvision is seeking an experienced, self-starting Compliance executive to lead and support the management and oversight within our financial compliance framework as the Chief Compliance Officer. The Chief Compliance Officer will work with the Business Development team and Research team to drive initiatives related to implementing and executing upon world class compliance standards.
 
The successful candidate will be proactive, people-oriented, and able to integrate him or herself seamlessly into existing and emerging Capvision Compliance processes and procedures. The Chief Compliance Officer will leverage strong analytical thinking and regulatory reporting skills to ensure appropriate, risk-based application of compliance to ensure smooth business operations with Clients and Experts The successful candidate will also be able to effectively build out our compliance processes and operations and communicate our compliance framework to clients.
 
Additionally, the Chief Compliance Officer will leverage strong leadership and process management skills to pursue action for privacy risk objectives for the Compliance department and impacted business lines.

Responsibilities:
  • Ensuring compliance with applicable laws, internal compliance procedures and pre-agreed client specific processes
  • Monitoring and processing personal data requests and active projects to flag and mitigate potential risks
  • Reviewing and improving clients’ compliance procedures prior to implementation
  • Resolving compliance queries from lines of business and clients
  • Creating and delivering quality compliance training to new and existing employees
 
Skills:
  • Rigorous attention to detail and ability to identify, remedy, and proactively prevent risks
  • Exceptional analytical skills
  • Discretion in handling confidential information
  • Professionalism and ability to develop effective working relationships across departments with individuals at all levels
  • Excellent oral and written communication skills
  • Strong communication skills
 
Qualifications:
  • Graduated from Law school in an accredited College or University
  • Minimum 6-10 years compliance-related experience
  • Experience in similar role (compliance executive, director, officer)
  • Knowledge of financial services, industry regulations, and due diligence preferred
  • Experience in enforcement preferred

About Capvision:
Supported by 300,000+ Industry Professionals, Capvision is one of the world’s largest expert networks and primary research firms. With a network of experts all around the world catering to a vast variety of industries, Capvision provides premium knowledge sharing services for those looking to grow, sustain, or improve their unique business and investment ventures using sound insight and proven research.

Capvision helps financial institutions, consulting firms, global enterprises, and high net worth individuals reach new professional heights with customized services such as expert consultations, primary research tailored to your industry, marketing surveys, and on-demand in-person and remote conferences.
 
 

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