Director, RJIM Compliance Monitoring

** Essential Duties and Responsibilities*
* + Supports the development, implementation, and oversight of compliance policies, procedures, and testing programs in accordance with Rules 38a-1 and 206(4)-7.

+ Supports team of associates responsible for testing and monitoring.

+ Supports portfolio compliance rule writing, rule testing and monitoring of Bloomberg AIM trading systems.

+ Identifies risk and develops testing and monitoring activities to reduce or mitigate the identified risk.

+ Familiar with portfolio compliance and performance measurement principles.

+ Partner with Legal, Risk and Compliance colleagues to manage corrective action plans and ensure regulatory compliance across all business functions

+ Minimizes the firm's risk exposure while balancing business concerns.

+ Maintains the required compliance systems for the firm while fostering positive business relationships with department associates and branch associates/affiliates.

+ Stays abreast of '40 Act regulatory matters and assists with exam preparedness efforts.

+ May serve as a liaison between the organization and industry regulators by responding to inquiries, audits, complaints, and investigations.

+ May serve as a liaison between the organization and industry committees such as SIA, FSI, and FINRA.

+ Reviews compliance and risk management controls and recommends appropriate changes, as required.

+ Coordinates the preparation and submission of regulatory filings and maintains required compliance documents.

+ Serves as expert on compliance issues by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations.

+ May oversee compliance exception reporting processes and take appropriate action, as required.

+ May draft and update written supervisory procedure manuals required by the SEC, if applicable.

+ Continually evaluates department structure and strategic plan, considering future growth as needed. Promotes overall efficiency while maintaining a commitment to compliance standards and excellent service.

+ Ensures processes and procedures support efficient and timely workflow.

+ Performs other duties and responsibilities as assigned.

** Knowledge, Skills, and Abilities*
* ** Advanced Knowledge of:*
* + Experience and understanding of '40 Act regulatory landscape, examinations and areas of enforcement priorities

+ Experience and understanding of SEC Investment Company and Investment Advisers Act Rules

+ Concepts, practices, and procedures of securities industry compliance.

+ Rules and regulations of the Securities Exchange Commission (SEC);
Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

+ Understanding of U.S. investment/securities products, operations, and regulatory frameworks

+ Financial markets and products.

+ Investment concepts, practices and procedures used in the securities industry.

** Advanced skill in:*
* + Administering regulatory notifications and filings.

+ Planning and scheduling work to meet regulatory organizational and regulatory requirements.

+ Investigating compliances issues and irregularities.

+ Making rule-based and analytical decisions.

+ Identifying and applying appropriate compliance monitoring procedures and tests.

+ Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

+ Preparing oral and/or written reports.

+ Project management skills and experience sufficient to successfully complete long and short-term projects.

+ Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

** Ability to:*
* + Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

+ Attend to detail while maintaining a big picture orientation.

+ Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

+ Establish and communicate clear directions and priorities.

+ Gather information, identify linkages and trends, and apply findings to operations.

+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area(s).

+ Work independently as well as collaboratively within a team environment to resolve problems.

** Educational/Previous Experience Requirements*
* + Bachelor's Degree (B.A./B.S.) in a related discipline required with a Master's degree preferred.  Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.

+ Minimum five (5) years' management experience within the financial services industry.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

** Licenses/Certifications*
* + None Required.

+ Additional licenses/certifications…