This role promotes and enforces compliance with the various laws and regulations which affect ING IM’s advisory businesses.
Key responsibilities include:
1. Create and refine processes to reduce risks and improve efficiency; provide support to employees regarding portfolio management of client accounts; monitor employees' work for compliance with the firm's policies and procedures; analyze, resolve, and document exceptions to normal business practices; and research and summarize federal securities and state insurance investment securities regulations.
2. Assist in implementation and testing of compliance and portfolio management systems. Create new processes utilizing technology to improve efficiencies.
3. Assist in the authoring, implementation, and testing of many of the firm’s written disclosures, policies, and procedures, including trade allocation policy, best execution, derivatives investments, and affiliated trading guidelines. Report findings and recommend improvements as necessary.
4. Develop compliance staff in terms of industry best practices and requirements.
5. Assist investment professionals with day to day compliance advice and interpretation.
6. Conduct and/or coordinate on-going education/training sessions for employees on appropriate compliance related subjects.
7. Assist Chief Compliance Officer with adhoc projects and initiatives as required.
8. Responsible for understanding and complying with firm policies and procedures while performing the role outlined above.
Who is our ideal candidate?
1. Undergraduate degree required.
2. Seven to ten years of experience in compliance, legal, or risk management area of an investment adviser.
3. Familiarity with state insurance and federal investment advisory rules and regulations required; knowledge of ERISA, FINRA, and certain European requirements (e.g., MiFID) a plus.
4. Experience advising management of problem situations and recommending corrective actions.
5. Experience coordinating and/or facilitating training of investment industry compliance related matters.
6. Excellent verbal and written communication skills. Ability to communicate with all levels inside and outside an organization. Experience preparing documentation and responding to internal/external compliance questions.
What else can we tell you?
In addition to a competitive salary and bonus plan, we offer:
• Medical and dental coverage for employees, their spouses, children and domestic partners.
• 401K Savings Plan with a dollar for dollar match for the first 6% of eligible pay, multiple investment options, and immediate eligibility and vesting after 4 years.
• Paid Time Off (PTO) bank of days for employees to use for any reason; 20 days in first full year of employment, 23 days beginning in the fifth year of employment.
• Health and dependent care spending accounts available. Company provided life insurance for employees; may purchase additional for self, spouses and children.
• Company holidays based on the NYSE calendar, jury duty, military leave, bereavement and community service time.
• Opportunities for professional growth and much more!
ING U.S. is an equal opportunity employer and we are committed to maintaining a diverse workforce. ING U.S. has been recognized for many of our diversity practices:
• ING U.S. has earned a perfect score in the Human Rights Campaign’s annual Corporate Equality Index for seven straight years (2007-2013).
• ING U.S. has received a Catalyst Award that honors exceptional initiatives from companies that support and advance women in business.
• Diversity Inc Noteworthy Top 25 Companies (2011)
• National Gay and Lesbian Chamber of Commerce, Financial Services Diversity Corporation of the Year, 2011 "
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If you feel that you’ve been a victim of fraud, contact:
• Your local law enforcement officials.
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• The web site with the job posting in question.
ING U.S. is the American arm of Dutch financial services firm ING Groep. It offers retirement, investment, and insurance (mostly life)...