Financial Services Compliance Leader
GE Vernova
full-time
Posted on:
Location Type: Hybrid
Location: Stamford • Connecticut • New York • United States
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Salary
💰 $172,600 - $287,500 per year
Job Level
About the role
- Partner with FS’ commercial resources and subject matter experts in the delivery of robust compliance program for commercial energy finance transactions, particularly those involving financing of early to late-stage energy project development
- Assess customers, joint venture partners and third parties, including those conducting business in high-risk jurisdictions, to identify potential integrity and ethical concerns, and reputational harms
- Execute enhanced due diligence, monitoring and oversight to ensure adherence to Anti-Bribery-Anti-Corruption, Economic Sanctions and Anti-Money Laundering/Know-Your-Customer laws, regulations, Company standards and leading practices
- Provide clear, actionable recommendations aligned to the strategic risk profile of the Company to the Corporate Compliance Leader and commercial resources
- Demonstrate strategic leadership assessing the materiality and relevancy of identified integrity and compliance risks, and, in partnership with commercial resources, develop written procedures and risk-based controls designed to help prevent, detect and respond to, development-related compliance risk
- Execute an effective risk-based compliance program across FS’ global regulated business activities, products and services
- Assess compliance obligations and execute controls aligned to various advisory and capital markets products and services, including third-party fundraising and management.
- Coordinate and execute compliance obligations for regulated securities transactions arranged through a registered Broker-Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private placements and brokerage activities
- Partner with commercial resources to analyze regulatory obligations and licensing requirements potentially arising from new business activities
Requirements
- Bachelor’s degree from an accredited university; advance degree preferred
- 10+ years’ experience mainly focused on Compliance-related roles
- Combined Compliance, Legal and/or Audit experience will also be considered
- Proven support for complex transactions and demonstrated ability translating diligence into compelling recommendations that drive action and decision-making
- Experience with strategy, design, implementation and maintenance of preventive and detective controls underpinning an effective global compliance program
- Experience with Financial Crime Compliance laws, regulations, controls and program requirements across Compliance Risk areas like Anti-Money Laundering and Counter-Terrorism Financing, Economic Sanctions and Trade Controls, and anti-corruption frameworks such as the US Foreign Corrupt Practices Act and UK Bribery Act
- Experience with asset management, fund management, brokerage activities for securities transactions and/or capital raising
Benefits
- medical, dental, vision, and prescription drug coverage
- access to Health Coach from GE Vernova, a 24/7 nurse-based resource
- access to the Employee Assistance Program, providing 24/7 confidential assessment, counseling and referral services
- Retirement Savings Plan, a tax-advantaged 401(k) savings opportunity with company matching contributions and company retirement contributions
- access to Fidelity resources and financial planning consultants
- tuition assistance
- adoption assistance
- paid parental leave
- disability benefits
- life insurance
- 12 paid holidays
- permissive time off
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
ComplianceDue diligenceRisk managementAnti-Bribery-Anti-CorruptionEconomic SanctionsAnti-Money LaunderingKnow-Your-CustomerPreventive controlsDetective controlsFinancial Crime Compliance
Soft skills
Strategic leadershipAnalytical skillsDecision-makingCommunicationCollaborationProblem-solvingRecommendation developmentIntegrity assessmentEthical judgmentStakeholder engagement