Compliance Officer in Houston for Global Financial Services Company

By April 11, 2017 No Comments
hiring a compliance officer

 We are representing a global firm with operations in 150 countries and over 10,000 employees.

Why Join this Firm:

  • Significant business growth organically and through acquisitions
  • 40% global headcount growth in two years
  • Autonomous and collaborative environment with emphasis on work life balance
  • High visibility position involved in strategic decision making
  • Employee focused with flexibility and trust
  • Opportunity to participate on global initiatives
  • Clear path to progression and promotion

Compliance Officer expectations first 12 months:

  • Establish acceptance and credibility with local business heads and global executive group
  • Assisting Chief Compliance Officer in Americas compliance program transformation
  • Participate in Americas compliance risk assessment and implementing subsequent compliance procedures

Compliance Officer Responsibilities:

  • Compliance advisory and support to executives and other stakeholders within the Americas region
  • Establish framework and implementation of ethics, conflicts of interest and integrity program
  • Establishing and maintain strong working relationships with business heads – educating on risk mitigation and compliance policies and procedures
  • Oversee a comprehensive strategy and operational approach to establish a culture of accountability and compliance across Americas region
  • Liaison with outside regulators – including CFTC and SEC
  • Assist Chief Compliance Officer in regional compliance risk assessment
  • Conducting compliance training and education cross functionally
  • Participating in third party due diligence process and surveillance, mitigating business risk
  • Working with in-house counsel on regulatory developments and subsequent impact to compliance procedures

Requirements of Compliance Officer:

  • Education: Bachelor’s degree essential, JD preferred
  • Must have compliance experience that was developed by working for a large international business
  • Compliance functional experience must include: Risk assessment, business advisory and support, policies and procedures, regulatory liaison, training and education, third party due diligence and surveillance
  • Industry experience: Preferred experience in financial services, ideally with exposure to commodities
  • Soft skills: Must be confident and able to work with autonomy, business focused, partnering mentality, strong communication skills (oral and written), strong values including ethics and integrity

Application Process for Compliance Officer – Qualified professionals are to submit CV as WORD document along with current compensation to: