Karen Anderson, President, manages our Compliance Recruiters. Karen is a Cornell Law School graduate and former SEC (Division of Market Regulation) attorney. She represented investment banking and broker-dealer clients on SEC & regulatory Compliance matters while practicing law at Brown & Wood (now Sidley Austin). As someone who practiced in the area, Karen understands the technical requirements of compliance positions.
Our Compliance professionals database is extensive and includes candidates at all levels, including Chief Compliance Officers, Heads of Compliance Divisions, Compliance Associates & Analysts. Our candidates offer JDs, MBAs, as well as other relevant post-college degrees and certifications.
Our Compliance professionals offer compliance expertise in a variety of specialties, including: trading floor and broker-dealer issues, derivatives/structured products, bank regulatory/AML, commodities, investment management, and sales & marketing.
Our clients come from many industries, including: Financial Services (retail and investment banking, hedge and mutual funds, private equity), Insurance, Health Care, Defense Contractors, and Manufacturing.
As part of our commitment to diversity, Vintage Legal's goal is to provide the most diverse and qualified candidate pool for each Compliance position.
Examples of recent placements include:
Chief Compliance Officer of a global pharmaceutical company
Chief Ethics Officer of a Fortune 500 manufacturing company
Head of Compliance, Investigations for a investment management company
Head of Compliance, AML for a retail bank
For more information about our Compliance search capabilities, please contact Karen Anderson at kanderson@vintagelegal.com.
Compliance Openings
NYC/VP, Investments. Our client seeks a compliance professional with 7 to 12 years of experience to oversee all investment advisory compliance matters for the company. Reporting directly to the CCO, the person will work on oversight of best execution, trade allocation, proxy voting, trading matters and clearance compliance issues. This includes working with all levels of portfolio management to ensure that appropriate regulatory and internal processes and controls are established and working effectively. This position will require daily interaction with portfolio managers, traders, and analysts across all investment teams as well as interaction with Risk Management and senior management. Person will also have primary oversight of Code of Ethics compliance as well as representing compliance matters with all sub-advisory clients and will perform due diligence on service providers, primarily supervisory firms, and assist our supervisory clients with their due diligence efforts. Person will conduct trainings and risk reviews.
Requirements: 5 to 10 years of relevant experience. Must have strong knowledge of Investment Advisers Act, 40 Act, relevant FINRA rules and understanding of markets (equity, fixed income and FX). JD and/or CPA strong pluses. FINRA Series 7/24 preferred. Should have exceptional leadership capabilities and communication skills. Please email Karen Anderson at kanderson@vintagelegal.com for more information.
Compliance Director/NYC. Financial services company seeks 10 to 15 plus years of experience. Person will work on a global basis on core compliance matters – AML, conflicts of interest, identifying global risks, operational risk matters, IT initiatives and Board of Director matters. Will work with global teams. This person will be responsible for:
• Developing and maintaining the Company’s Code of Conduct and related global policies • Writing the Annual Compliance Plan, which sets forth the key global risks for the year and the associated remediation plans, and tracking progress through the year • Developing enterprise-wide e-learning modules covering core legal and compliance concepts, e.g. anti-money laundering, conflicts of interest, franchise risk • Overseeing the Global Compliance training program, including the development and tracking of annual Compliance training plan and managing the distribution of bi-annual enterprise-wide e-learning modules • Overseeing the Compliance programs related to employee trading and outside business activities, including owning the global policy, coordinating global teams, implementing consistent global standards globally and managing the related technology agenda • Developing reporting on key Compliance initiatives, issues and performance metrics to various risk governance committees including the Audit Committee of the Board of Directors, the Global Compliance Committee and the Firm Risk Committee • Producing monthly Compliance metrics for senior Compliance management • Coordinating with Operational Risk on the identification and reporting of operational risk incidents • Conducting the annual operational risk and control self assessment of the Compliance division globally • Representing Compliance in cross divisional projects, including IT initiatives
Requirements: Graduate degree required, MBA or JD preferred; 10 years experience in Compliance and/or financial services industry and demonstrated leadership ability/ability to work with global teams. Email Anna Weaver for more details at aweaver@vintagelegal.com