Senior Compliance Specialist
Northbound Executive Search
Our client, a financial services firm based in San Francisco, is seeking a Senior Compliance Specialist for a consulting engagement. This individual will support the firm's investment and credit businesses by providing trade compliance guidance, enhancing governance processes, and ensuring adherence to regulatory requirements. Responsibilities Provide trade compliance support to investment and business teams. Draft, revise, and maintain compliance policies, procedures, and control frameworks. Review transactions and business activities to identify regulatory risks and potential conflicts of interest. Support oversight, governance, and reporting for the firm's credit business. Partner with Legal, Risk, and Operations to implement compliance initiatives and strengthen controls. Assist with regulatory examinations, internal audits, and compliance monitoring. Qualifications 5+ years of compliance experience within financial services, asset management, investment management, or banking. Hands‑on experience with trade compliance and securities regulations. Strong background in policy development, regulatory oversight, and governance. Excellent analytical, communication, and stakeholder management skills. #J-18808-Ljbffr
Vacancy posted 2 days ago
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