Conning Holdings Limited
Assistant Vice President, Compliance
Conning Holdings Limited, Hartford, Connecticut, us, 06112
Assistant Vice President, Compliance page is loadedAssistant Vice President, ComplianceApply locations Hartford, CT time type Full time posted on Posted 4 Days Ago job requisition id JR1074 Conning is a leading global investment management firm with a long history of serving the insurance industry.
We develop customized investment strategies that address our clients’ unique objectives, requirements and tolerance for risk. We develop solutions by leveraging Conning’s risk management tools and utilizing a highly disciplined investment process that relies on fundamental analysis.
Position Summary:
We are looking for an experienced compliance professional to join our team. Reporting to the Chief Compliance Officer, you will play an integral role in helping to manage and contribute to our Company’s compliance program. You will work independently, and in conjunction, with members of the compliance teams and resolve problems through the application of experience and judgment. You will assist with the administration of the compliance program and support efforts related to compliance oversight, anti-money laundering monitoring and testing of policies and procedures.
Responsibilities:
Forensic testing around the administration of the Compliance Program/Annual Review
Monitoring advisory and broker-dealer activities to ensure they are performed in compliance with policies & procedures
Monitor the effectiveness of established compliance processes and controls, and enhance written supervisory procedures as needed
Provide guidance to the firm’s employees on investment adviser issues, SEC & FINRA rules and regulations
Anti-money Laundering (AML)
Facilitate the review and updates of compliance policies and procedures
Communicate issues with business units related to AML/examination findings
Assist with marketing material/ advertisement/newsletter reviews as needed
Prepare and provide reports to CCO on a regular basis, or as requested
Administration of books and records and special projects
Are you the right candidate for this opportunity Make sure to read the full description below. Requirements: Bachelor’s degree Series 7 & 24 preferred or willing to complete 5+ years of compliance or audit experience Working knowledge of Investment Advisers Act & FINRA regulations Anti-money laundering experience is preferred Microsoft applications (Excel, Word, PowerPoint & SharePoint) Outstanding reputation of professional integrity and potential to be personally credible Attention to detail and solid project management skills Proactive and solutions-oriented; innovative Ability to adapt quickly and appropriately with the constant evolution of our compliance program Collaborative and energized by the open exchange of ideas Strong interpersonal, business writing and organizational skills with ability to prioritize duties Strong problem-solving skills and attention to detail Strong work ethic with a positive attitude Self-starter who can work independently Strong team player Ability to work well under deadline pressure Effectively makes decisions by gathering data/input, weighing risks, pros/cons and choosing the best solution based on company values Ability to clearly articulate opinions and to influence Conning is an equal opportunity employer. Our company embraces the principles of and inclusion; our employees can bring the best version of themselves to work every day. We thrive in an environment where everyone’s voice is heard, every idea counts, and the differences of our employees are valued. We provide reasonable accommodations to those who need them. If you are unable to complete this application due to a disability, contact us to ask for an accommodation or an alternative application process. We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class. Applicants must exhibit a strong commitment to meet compliance obligations reflecting Conning'score values of honesty and integrity; must accept responsibility for compliance in each role and comply with all applicable rules, regulations, and legal requirements. About Us Conning is a leading global investment management firm with a long history of serving the insurance industry.
We develop customized investment strategies that address our clients’ unique objectives, requirements and tolerance for risk. We develop solutions by leveraging Conning’s risk management tools and utilizing a highly disciplined investment process that relies on fundamental analysis.
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Are you the right candidate for this opportunity Make sure to read the full description below. Requirements: Bachelor’s degree Series 7 & 24 preferred or willing to complete 5+ years of compliance or audit experience Working knowledge of Investment Advisers Act & FINRA regulations Anti-money laundering experience is preferred Microsoft applications (Excel, Word, PowerPoint & SharePoint) Outstanding reputation of professional integrity and potential to be personally credible Attention to detail and solid project management skills Proactive and solutions-oriented; innovative Ability to adapt quickly and appropriately with the constant evolution of our compliance program Collaborative and energized by the open exchange of ideas Strong interpersonal, business writing and organizational skills with ability to prioritize duties Strong problem-solving skills and attention to detail Strong work ethic with a positive attitude Self-starter who can work independently Strong team player Ability to work well under deadline pressure Effectively makes decisions by gathering data/input, weighing risks, pros/cons and choosing the best solution based on company values Ability to clearly articulate opinions and to influence Conning is an equal opportunity employer. Our company embraces the principles of and inclusion; our employees can bring the best version of themselves to work every day. We thrive in an environment where everyone’s voice is heard, every idea counts, and the differences of our employees are valued. We provide reasonable accommodations to those who need them. If you are unable to complete this application due to a disability, contact us to ask for an accommodation or an alternative application process. We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class. Applicants must exhibit a strong commitment to meet compliance obligations reflecting Conning'score values of honesty and integrity; must accept responsibility for compliance in each role and comply with all applicable rules, regulations, and legal requirements. About Us Conning is a leading global investment management firm with a long history of serving the insurance industry.
We develop customized investment strategies that address our clients’ unique objectives, requirements and tolerance for risk. We develop solutions by leveraging Conning’s risk management tools and utilizing a highly disciplined investment process that relies on fundamental analysis.
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