This position is for a financial services risk management or compliance professional at the Manager level to work on regulatory, risk management, and compliance issues confronting clients who are asset managers, banks, swap dealers, broker-dealers, exchanges, and other financial services firms such as fintech companies. Issues handled by the Manager will also involve cryptocurrencies, swaps, and investment products. This position will work on projects to help clients manage regulatory and business risk and enhance their compliance programs.
Job Title: Risk Management & Compliance Manager
Job Type: Full Time
Location: Washington, D.C. or New York City
About the Firm:
Patomak Global Partners is a leading financial sector consulting firm that applies the insights of senior-level industry experts to advise clients on complex, cutting-edge strategy, compliance, and risk management challenges.
We are experiencing high growth and are looking for individuals that are self-starters and eager to learn from the best in the industry. In this role, you will have the opportunity to work with senior industry and regulatory experts. Day-to-day interaction with former senior government officials and industry leaders will provide a unique and transformational professional experience.
Patomak is seeking a mid-level professional with a good understanding of SEC/FINRA and/or CFTC/NFA rules and regulations. In this manager role, you would apply your knowledge of these rules and regulations to compliance and risk programs in light of regulatory expectations and best practices and identify opportunities for clients to enhance their compliance and risk programs, business models, and operations. You will also advise on potential transactions and assist clients in managing regulatory and business risks.
This position offers you the opportunity to join a high-performing team in a fast-paced work environment. You will lead cutting-edge projects and work on new industry-specific risk and compliance challenges.
What’s Great:
- Exceptional compensation and excellent work culture.
- We are a growing, profitable company.
- Broad exposure and learning opportunities.
- Global client base ranging from the biggest banks in the world to the newest fintech firms.
- Professional team of coworkers who are experts in their specialties.
Overview of the Job Duties:
- Aid in the day-to-day management of multiple compliance projects, including assessing current compliance programs against rules and regulations, conducting control and data testing to determine effectiveness, and designing and implementing an internal controls framework.
- Participate and lead reviews of clients’ governance framework, operations, trade, and communication surveillance systems.
- Develop project plans and timelines for completing deliverables.
- Draft and deliver written reports and agreed-upon deliverables to the client.
- Closely collaborate with Senior Directors and Managing Directors on business development, engagement staffing, and delivery.
Skills and Desired Qualifications:
- Strong organizational, time management, and problem-solving skills.
- Experience leading teams focused on identifying or overcoming compliance challenges facing leading financial companies.
- Excellent PowerPoint and Excel skills.
- Excellent writing and editing skills.
- Excellent project management skills.
- “All-hands-on-deck” mentality befitting a collaborative work environment.
- Proactive and curious; ability to quickly get up to speed on new topics, regulatory priorities, and rules and regulations.
- Flexible in adapting to new job duties and client demand.
- Keen attention to detail.
- Ability to work well in a team environment.
- Positive attitude and desire to learn.
Education and/or Relevant Experience:
5+ years of risk management or compliance experience (e.g., consulting firm, law firm, financial firm) and/or service in a financial government agency (e.g., SEC, CFTC).
Demonstrated subject matter expertise in one or more of the following:
- Securities (SEC/FINRA) rules and regulations as applicable to broker-dealers, security-based swap dealers, or investment advisers.
- Commodities (CFTC/NFA) rules and regulations as applicable to swap dealers or futures commission merchants.
- Banking regulations, particularly capital and risk management rules.
- Regulatory examinations, investigations, and enforcement experience at a regulator or consulting firm.
- Advanced degree preferred but not required.
Patomak Global Partners, LLC is an equal opportunity employer and does not discriminate on the basis of race, color, national origin, ancestry, citizenship status, protected veteran status, religion, physical or mental disability, marital status, sex, sexual orientation, gender identity or expression, age, or any other basis protected by law, ordinance, or regulation.
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