Manager (Risk Management & Compliance)

Job Title: Manager (Risk Management & Compliance)

Job Type: Full-Time

Location: Washington, DC or New York, New York

About the Firm:

Patomak Global Partners is a leading financial sector consultancy that applies the insights of senior-level industry experts to advise clients on complex and cutting-edge strategy and risk management challenges.

Position Summary: 

This is a position 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. Salary is generous and commensurate with experience.

Depending on level of experience and qualifications, responsibilities may include:

  • Lead multiple regulatory compliance projects including conducting mock regulatory examinations, developing internal controls, conducting gap assessments of compliance and governance programs, and conducting controls and data testing for asset managers, banks, broker-dealers, exchanges, and other financial services firms such as fintech companies in the United States and abroad.
  • Lead multiple simultaneous engagements and teams to deliver regulatory, compliance, risk management, and strategy services to clients.
  • Closely collaborate with Senior Directors and Managing Directors on engagement staffing and delivery.
  • Develop project plans including the assignment of work to team members.
  • Manage client expectations regarding deliverables. Ensure the project team understands the client requirements and that the project deliverables are timely, accurate, organized, and well-presented.
  • Coach the project team and develop their technical proficiency by sharing knowledge and helping them gain appropriate experience.
  • Participate and lead reviews of clients’ governance rules, compliance controls, operations, surveillance systems, and other regulatory compliance issues.

Skills and Qualifications: 

  • Strong organizational, time management, and problem-solving skills.
  • Experience leading teams focused on identifying or overcoming compliance challenges facing leading financial companies. Experience related to SEC, FINRA, CFTC, NFA, CFPB, and/or Federal Reserve System regulatory actions is necessary.
  • 5 or more years of risk management or compliance experience (e.g., consulting firm, law firm, financial firm) and/or service in government relevant to the financial industry. Experience at both a consulting firm and in government preferred.
  • Excellent Documentation, PowerPoint and Excel skills.
  • Excellent project management skills.
  • “All-hands-on-deck” mentality befitting a collaborative work environment.
  • Pro-active and curious; ability to quickly get up to speed on new topics, regulatory priorities, and rules and regulations.
  • Keen attention to detail.
  • Advanced degree preferred but not required.
  • Ability to work well in a team environment.
  • Positive attitude and desire to learn.

If interested, please send a cover letter and resume to jobs@patomak.com

 

X