Senior Compliance Officer

Posted 2024-11-23

💎 Seniority level: Senior, Minimum of 15 years

📍 Location: US, Eastern time zone, NOT STATED

🔍 Industry: Telecommunications

🏢 Company: Vonage

🗣️ Languages: English

⏳ Experience: Minimum of 15 years

🪄 Skills: LeadershipAgileStrategyPresentation skillsCompliance

Minimum of 15 years’ experience in compliance or related functions (audit, internal controls).
Previous leadership experience in a Compliance function preferred.
Juris Doctor degree and a license to practice law.
Demonstrated strong compliance background.
Ability to support governance, risk management, and provide precise advice.
Understanding of data analytics and ability to convey actionable information.

Implement Vonage’s ethics and compliance program and foster a culture of ethics and integrity.
Ensure compliance with a National Security Agreement and engage with government regulators.
Provide expert advice and practical solutions on compliance matters.
Analyze data to make informed compliance decisions.
Manage risks related to non-compliance of laws.
Oversee compliance program operations and engage outside counsel as needed.

Posted 2024-11-21

📍 United States

🧭 Full-Time

🔍 Investment management, renewable energy, sustainable infrastructure

Bachelor’s degree in law, finance, business, or related field; advanced degree or relevant certification.
8-10 years of experience in compliance, preferably within the asset management or investment advisory industry.
Proven experience managing a compliance program for an SEC-registered investment advisor.
In-depth knowledge of SEC regulations and experience working with marketing and advertising materials within the investment management sector.
Strong leadership and communication skills, with the ability to collaborate cross-functionally and influence decision-making.
Ability to work independently in a remote environment while maintaining strong attention to detail and organizational skills.
Experience with renewable energy or sustainable investment practices is a plus but not required.

Oversee the compliance program for the firm's registered investment advisor, ensuring adherence to SEC regulations and industry best practices.
Develop, implement, and maintain compliance policies, procedures, and controls across the organization.
Conduct regular compliance reviews and audits to ensure the firm meets regulatory obligations.
Review and approve marketing materials, ensuring compliance with regulatory requirements.
Collaborate with internal teams to provide guidance on regulatory compliance matters, especially related to investment management activities.
Lead internal investigations and audits, reporting findings and recommending corrective actions.
Monitor regulatory developments and communicate changes in relevant laws, rules, and regulations to stakeholders.
Prepare and submit required filings and reports to the SEC and other regulatory bodies as necessary.
Provide training and education to employees on compliance policies and practices.

LeadershipCommunication SkillsAttention to detailOrganizational skillsCompliance

Posted 2024-11-21

🔧 Requirements