VP, Compliance Officer
Location: NY New York
Total applied: 40
Job ID 10499BR Position Type Full-Time Employee Company Name ING U.S. Financial Services Location New York, NY Salary Unspecified Experience 2-5 Years Experience
What is ING? Operating out of 32 countries, ING Investment Management is one of the world's largest investment firms with over US$430 billion assets under management.
ING IM Americas has investment operations in Atlanta, Hartford, Minneapolis, New York, Scottsdale, and Denver as well as Canada, Mexico and South America, and assets under management of over $180 billion.
We provide assets and relationship management services for institutional, managed account and alternative businesses and manage assets for ING's mutual funds and insurance companies.
Our broad array of investment strategies combined with ING Group's distribution capabilities across retail and institutional channels enable us to offer an integrated financial services solutions for all of our clients, both in the US and globally.
Who is our ideal candidate? The idea candidate for this position will have: A minimum of ten years of experience in securities compliance Investment advisory, including hedge fund experience Relevant regulatory experience, NASD experience preferred Law firm or institutional investment management company experience Strong computer skills and familiarity with the internet required Candidates should have a JD Series 7, 24, 63 preferred Proven management ability What are the job responsibilities? This role is responsible for ensuring the organization's activities comply with all pertinent legal and regulatory requirements.
Major accountabilities include: Assist in the implementation and testing required under Rule 206(4)-7 through a review of many of the firm's written disclosures, policies and procedures, including trade allocation, best execution, derivative use and affiliated trading guidelines.
Report findings and recommend improvements as necessary.
Serve as primary resource for alternatives business, including hedge funds, hedge fund of funds, real estate, and private equity.
Conduct and/or coordinate on-going education/training sessions for employees on appropriate compliance related subjects.
Work with broker-dealer and alternative investment teams to develop compliance procedures.
Work with regulatory agencies and internal and external legal staff to resolve compliance issues.
Assist Chief Compliance Officer with ad-hoc projects and initiatives as required.
Responsible for management of small compliance team.
What else can we tell you? At ING, we truly are at the beginning of a transformation an evolving journey that will create a different work experience for our employees and a different customer experience for our clients.
ING has set its sights on reinventing the way it delivers financial products and services.
Because we understand the link between your satisfaction and our customers' satisfaction, we want to offer you a different type of employee experience that recognizes your contribution and acknowledges individual needs, interests and stages in life.
WHAT ABOUT BENEFITS? In addition to a competitive salary and bonus plan, we offer: · Medical and dental coverage for employees, their spouses, children and domestic partners.
· Incentive Savings Plan (401K), with a dollar for dollar match for the first 6% of eligible pay, multiple investment options, and immediate eligibility.
· Paid Time Off (PTO) bank of days for employees to use for any reason; 20 days in first full year of employment, 23 days beginning in the fifth year of employment.
· Pension Plan based on length of service and eligible pay; fully funded by ING. Vested after 5 years.
· Health and dependent care spending accounts available.
Company provided life insurance for employees; may purchase additional for self, spouses and children.
· Company holidays based on the NYSE calendar, jury duty, military leave, bereavement and community service time.
· And much more! *CBN *MTR
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