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General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.

Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Counsel Jobs > Compliance, Merchant Banking, Vice President/ Managing Director Job in New York > Compliance, Merchant Banking, Vice President/ Managing Director

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New York - Compliance, Merchant Banking, Vice President/ Managing Director

Refer job# XW5525766

Compliance, Merchant Banking, Vice President / Managing Director The candidate will be responsible for the compliance program globally and will lead a team comprised of approximately 5 individuals. Will have the ability to manage changes resulting from regulatory reform. Ensure that investments are assessed for compliance and reputational issues. Design and monitor surveillance on potential and existing investments and MBD marketing initiatives. Create controls and roll out surveillance for adherence to laws, regulations and firm policies and procedures. Interact directly with regulators and provide advice for business. Design and deliver live and online training on divisional policies and procedures. Oversee and provide advice related to required regulatory filings such as Form ADV, Form PF and NFA filings. Design testing and monitoring to review and assess the effectiveness of controls and surveillance. Act as a resource on a daily basis for compliance, regulatory, policy and reputational issues including review and advise on employees' registration, personal investment, personal trading and other individual compliance issues. Develop appropriate policies and procedures in place in light of changing regulation and new products developed by MBD. Should preferably have a law degree. Must have experience in covering compliance and/or legal of a private equity business is preferred, together with knowledge of the US Investment Advisers Act of 1940 and commodity rules applicable to pooled investment vehicles.

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