Financial Services Compliance Leader
Switzerland Global Enterprise
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.
- 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. When warranted, operationalize and implement control enhancements to meet local obligations.
- Partner with the broader compliance function to support various compliance initiatives aimed at advancing, maturing and modernizing the Company’s compliance program. Assist the Corporate Compliance Leader in the development of KPIs, KRIs and reporting packages utilized to inform management of priorities, risks and corrective actions.
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.
- Holds U.S. securities industry licenses, such as SIE, Series 7 and Series 24.
- Experience advising senior management, crafting creative solutions and evaluating multiple business objectives against compliance principles and best practices.
- Energy sector, infrastructure and/or development investment experience.
- Experience with U.S. and/or global regulatory regimes related to financial services firms, such as broker-dealers and financial advisers, investment advisers and private equity.
- Experience with and understanding of compliance obligations for broker-dealers which are FINRA-member firms.
- Experience with and understanding of compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC).
- Demonstrated understanding of the UK Financial Conduct Authority (FCA) Handbook, underlying compliance principles, regulator expectations and regulatory frameworks.
- Experience with Markets in Financial Instruments Directive (MiFID-II) and Capital Requirements Directive IV (CRD-IV) frameworks and regulatory requirements.
- Demonstrated understanding of debt financing products, investment and equity products, financial advisory services and their impact on and relevancy to compliance operations.
- Resourceful, with demonstrated skill in managing multiple concurrent priorities and deadlines.
- Strong analytical, written and oral communication and problem-solving skills.
- Master’s or Law degree.
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
- GE Vernova 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
ComplianceAnti-Money LaunderingEconomic SanctionsAnti-Bribery-Anti-CorruptionFinancial Crime CompliancePreventive and detective controlsSecurities transactionsCapital raisingRegulatory complianceRisk-based compliance program
Soft skills
Strategic leadershipAnalytical skillsWritten communicationOral communicationProblem-solvingResourcefulnessDecision-makingCreative solutionsManaging multiple prioritiesEvaluating business objectives
Certifications
Bachelor's degreeMaster's degreeLaw degreeSIESeries 7Series 24