Dallas, United States

Compliance Senior Vice President

Full-time / part-time
Full-time
Level
Executive
Department
Compliance & Risk
Address
2777 North Stemmons Freeway
Dallas
75207
United States

Job description

Responsibilities:

  • Lead the day-to-day support in the development, implementation and maintenance of compliance programs for a variety of financial services firms;
  • Oversee junior staff in the development and implementation of compliance policies and procedures – taking a proactive approach to ensuring policies are implemented;
  • Lead annual compliance reviews and internal control testing;
  • Oversee the preparation and submission of regulatory filings;
  • Oversee the monitoring of clients’ code of ethics requirements and electronic communications reviews;
  • Lead onsite training to clients regarding regulatory requirements and best practices;
  • Register clients as broker-dealers or investment advisers with the appropriate regulatory bodies; 
  • Assist in conducting mock regulatory exams as well as assist in providing SEC and FINRA exam support;
  • Train staff on firm processes, new regulations or takeaways from industry events;
  • Proactively provide practical, business friendly solutions for esoteric regulatory issues;
  • Contribute to business development efforts of the firm by retaining new clients.

Qualifications

Requirements:  

  • Undergraduate degree required
  • 10+ years of compliance related experience
  • Excellent written and verbal communication skills
  • Experience with compliance program development and maintenance
  • Management experience
  • Previous business development or revenue generation goals a plus
  • Ability to multi-task across a range of projects with constantly shifting priorities

Additional information

All your information will be kept confidential according to EEO guidelines.

Company description

Greyline is a regulatory consulting firm headquartered in San Francisco, CA. Our clients are primarily registered investment advisers including traditional advisers, mutual fund managers, private equity firms, hedge funds, and venture capital firms. The firm’s culture is collaborative, entrepreneurial, and innovative.

 

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