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Head of Compliance - Technology - Perm
Ref No.: 18-00565
Location: New York, New York
Our direct client is seeking a Head of Compliance for their New York, NY location.

Job Description:

Technology works as a strategic partner with our business units and the world's leading technology companies to redefine how we do business in ever more global, complex, and dynamic financial markets. Our Company's sizeable investment in technology results in quantitative trading systems, cutting-edge modeling and simulation software, comprehensive risk and security systems, and robust client-relationship capabilities, plus the worldwide infrastructure that forms the backbone of these systems and tools. Our insights, our applications and infrastructure give a competitive edge to clients' businesses—and to our own.

  • Partner with business stakeholders to understand needs, objectives and formalize a long term strategy. Act as the key liaison between the business and the technology group.
  • Lead change programs and platform delivery across the relevant business areas ensuring appropriate budgeting to achieve objectives.
  • Oversee the design, development and delivery of next generation applications that leverage cutting edge technology practices and vendor systems.
  • Manage the development organization ensuring that the skills and experience of the team are appropriately aligned with business needs and programs.
  • Drive the adoption of next-generation applications that enable business users to focus on portfolio performance and deliver superior results.
  • Act as a subject matter expert and advisor on all aspects of technology to business leaders and the executive team.
  • Collaborate with vendors and technology firms to understand and harness emerging technology trends.

  • Minimum 7+ years in the investment management industry including extensive experience delivering front office or middle office systems across a range of asset classes and investment strategies.
  • A strong technical background and deep understanding of buy-side Compliance systems architecture and technology across all asset classes. Experience with industry leading vendor systems a plus.
  • In-depth understanding of the full software development life cycle. Deep familiarity with modern software development and design concepts encompassing a range of languages and platforms.
  • Experience leading teams of technologists and proven ability to attract and develop key talent.
  • Demonstrable track record of managing change and transformation.
  • Excellent analytical skills, anticipates issues and deals with them proactively.
  • Forms strong long term partnerships with business stakeholders. Understands business needs and priorities, provides thought leadership on potential solutions and the opportunities for technology to impact the team.
  • Demonstrates a passion for technology innovation balanced with a pragmatic approach to developing and deploying solutions that best benefit the business.
  • Strong strategic leadership skills. Crafts compelling strategies that align with business goals, communicates objectives clearly and motivates the group to deliver.
  • Highly collaborative, works effectively with stakeholders at all levels of the organization and across a variety of functions.
  • Provides inspirational leadership and builds high performing teams by attracting, developing and retaining marketplace talent.
  • Promotes and demonstrates a culture of front to back ownership.
  • Self-confident leader with a proactive approach and excellent communication skills.
  • Nimble, adaptable, comfortable with ambiguity; able to course correct when circumstances change.
  • Exceptionally client focused, builds relationships across the organization *LI-EM.


Bachelor's degree in computer science or a related field; advanced education preferred.