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GE Vernova · 1 day ago

Financial Services Compliance Leader

New York

Full-time

Onsite

Senior Level, Lead/Staff

$173K/yr - $288K/yr

10+ years exp

GE Vernova’s Ethics & Compliance Team is seeking an experienced regulatory compliance professional to manage the compliance program for their Financial Services business. The Financial Services Compliance Leader will develop and implement controls to address compliance risks and work closely with various business functions to facilitate an ethical culture within the organization.

EnergyEnergy EfficiencySustainability

Responsibilities

Partner with FS’ commercial resources and subject matter experts in the delivery of robust compliance program for commercial energy finance transactions, particularly those involving financing of early to late-stage energy project development

Assess customers, joint venture partners and third parties, including those conducting business in high-risk jurisdictions, to identify potential integrity and ethical concerns, and reputational harms

Execute enhanced due diligence, monitoring and oversight to ensure adherence to Anti-Bribery-Anti-Corruption, Economic Sanctions and Anti-Money Laundering/Know-Your-Customer laws, regulations, Company standards and leading practices

Provide clear, actionable recommendations aligned to the strategic risk profile of the Company to the EDGE Chief Compliance Officer and commercial resources

Demonstrate strategic leadership assessing the materiality and relevancy of identified integrity and compliance risks, and, in partnership with commercial resources, develop written procedures and risk-based controls designed to help prevent, detect and respond to, development-related compliance risk

Execute an effective risk-based compliance program across FS’ global regulated business activities, products and services

Assess compliance obligations and execute controls aligned to various advisory and capital markets products and services, including third-party fundraising and management

Coordinate and execute compliance obligations for regulated securities transactions arranged through a registered Broker-Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private placements and brokerage activities

Partner with commercial resources to analyze regulatory obligations and licensing requirements potentially arising from new business activities. When warranted, operationalize and implement control enhancements to meet local obligations

Partner with the broader compliance function to support various compliance initiatives aimed at advancing, maturing and modernizing the Company’s compliance program. Assist the EDGE Chief Compliance Officer in the development of KPIs, KRIs and reporting packages utilized to inform management of priorities, risks and corrective actions

Qualification

Compliance Risk ManagementFinancial Crime ComplianceBroker-Dealer ComplianceRegulatory ComplianceU.S. Securities LicensesEnergy Sector ExperienceInvestment Adviser ComplianceAnalytical SkillsCommunication SkillsProblem-Solving Skills

Required

Bachelor's degree from an accredited university; advance degree preferred

10+ years' experience mainly focused on Compliance-related roles. Combined Compliance, Legal and/or Audit experience will also be considered

Proven support for complex transactions and demonstrated ability translating diligence into compelling recommendations that drive action and decision-making

Experience with strategy, design, implementation and maintenance of preventive and detective controls underpinning an effective global compliance program

Experience with Financial Crime Compliance laws, regulations, controls and program requirements across Compliance Risk areas like Anti-Money Laundering and Counter-Terrorism Financing, Economic Sanctions and Trade Controls, and anti-corruption frameworks such as the US Foreign Corrupt Practices Act and UK Bribery Act

Experience with asset management, fund management, brokerage activities for securities transactions and/or capital raising

Preferred

Holds U.S. securities industry licenses, such as SIE, Series 7 and Series 24

Experience advising senior management, crafting creative solutions and evaluating multiple business objectives against compliance principles and best practices

Energy sector, infrastructure and/or development investment experience

Experience with U.S. and/or global regulatory regimes related to financial services firms, such as broker-dealers and financial advisers, investment advisers and private equity

Experience with and understanding of compliance obligations for broker-dealers which are FINRA-member firms

Experience with and understanding of compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC)

Demonstrated understanding of the UK Financial Conduct Authority (FCA) Handbook, underlying compliance principles, regulator expectations and regulatory frameworks

Experience with Markets in Financial Instruments Directive (MiFID-II) and Capital Requirements Directive IV (CRD-IV) frameworks and regulatory requirements

Demonstrated understanding of debt financing products, investment and equity products, financial advisory services and their impact on and relevancy to compliance operations

Resourceful, with demonstrated skill in managing multiple concurrent priorities and deadlines

Strong analytical, written and oral communication and problem-solving skills

Master's or Law degree