Vp, Fixed Income Compliance

Chartwell Investment Partners

Base: $175,000.00-$220,000.00; bonus/equity: + com...
Hybrid
12+ years compliance experience
Structured products regulatory knowledge
Broker-dealer and investment adviser rules
Chartwell Investment Partners is seeking a Vice President of Fixed Income Compliance to guide compliance efforts for its affiliate, GreensLedge. The role involves collaborating with various departments to ensure compliance with regulatory standards while supporting the integration of GreensLedge into the broader enterprise compliance program

Job Summary

  • This role serves as a subject matter expert on securities industry regulations specifically for the GreensLedge structured credit business.
  • The successful candidate will lead the integration of compliance functions into the enterprise program while advising front-office sales, trading, and investment banking teams.
  • The position offers a competitive base salary ranging from $175,000 to $220,000 along with a comprehensive benefits package including medical, dental, vision, and retirement savings.

Matching Summary

Match Score: 85

Chartwell Investment Partners is seeking a Vice President of Fixed Income Compliance to guide compliance efforts for its affiliate, GreensLedge. The role involves collaborating with various departments to ensure compliance with regulatory standards while supporting the integration of GreensLedge into the broader enterprise compliance program.

Salary

Base: $175,000.00-$220,000.00; Bonus/Equity: Additional compensation may include cash or equity; Benefits: Medical, dental, vision, life insurance, disability, retirement savings, paid time off

Skills & Requirements

Must-have

  • 12+ years compliance experience
  • Structured products regulatory knowledge
  • Broker-dealer and investment adviser rules
  • SEC FINRA state agency regulations
  • Cross-functional team collaboration

Nice-to-have

  • International business experience
  • Process automation expertise
  • Strong verbal and written communication
  • Strategic planning capabilities
  • Industry conference representation

Key Requirements

  • Bachelor's degree required; Master's preferred
  • Minimum 12 years financial services compliance experience
  • Minimum 10 years management experience
  • Expertise in SEC, FINRA, and state securities regulations
  • Experience with structured products from broker-dealer perspective

Work Rights

Not specified

Tailored Resume

Cover Letter