Director of IT Governance, Risk & Compliance at Zentalis Pharmaceuticals developing GRC strategies. Leading compliance for FDA regulations in a clinical - stage biotech environment.
About the role
- AVP, Compliance at a leading global alternative investment management firm focusing on real estate, infrastructure, and credit strategies. Collaborating on compliance program management and regulatory support.
Responsibilities
- Serve as a thought leader on compliance matters, including AI, cybersecurity and data privacy
- Assist in the management of all aspects of the compliance program including onboarding and offboarding employees into the compliance system, and address employee questions around the Code of Ethics
- Maintain all records of compliance regarding pre-clearance approvals and marketing reviews
- Manage compliance operations related to marketing reviews, pre-clearance approvals and recordkeeping
- Provide dedicated compliance support to the firm and partner with external regulatory advisers
- Support preparation and response efforts for SEC audits and other regulatory inquiries
- Support the annual compliance review and back test different compliance policies; continually assess the compliance policies and procedures, and drive implementation of policy enhancements
- Collaborate closely with the Accounting & Portfolio Management teams on regulatory reporting requirements
- Leverage data analytics to identify trends, gaps and opportunities for program improvement
- Other duties as assigned
Requirements
- Working knowledge of the Advisers Act, insider trading, anti-money laundering laws, anti-bribery and corruption rules, and conflicts of interest
- Experience managing SEC audits and regulatory communications
- Fluency with the FINRA IARD system and SEC filings including Form ADV and Form PF
- Expertise with the EDGAR system and Form D filings
- Highly organized, proactive, solutions-oriented thinker, with a passion for compliance and helping a growing firm navigate evolving rules and regulations
- Strong communication, interpersonal, and collaboration skills
- 5+ years of advanced compliance experience at a financial services firm
- Expertise with the FINRA IARD system to input annual Form ADV and Form PF
- Knowledge with compliance monitoring systems, such as ComplianceAlpha or ComplySci and technology solutions
- Experience with private equity, fund management, and/or real estate strongly preferred
Benefits
- Medical
- Financial
- Wellness programs
- Generous discretionary bonus
Job title
Job type
Experience level
Salary
Degree requirement
Tech skills
Location requirements
Licensing Compliance Officer for the City of Hamilton ensuring by - law compliance and conducting inspections. Engaging with the community and liaising with businesses for adherence to regulations.
Regulatory & Compliance Analyst responsible for implementing insurance regulatory filings and compliance. Collaborating with teams to prepare submissions and maintain documentation in a hybrid environment.
Manager of Post Market Compliance overseeing post - market surveillance for global medical device regulations. Engaging with cross - functional teams and maintaining compliance standards in a hybrid role.
IT Risk and Compliance Specialist ensuring security of technology systems for GDIT and its customers. Monitor security posture, assess risks, and implement improvements in security protocols.
Regulatory Affairs Analyst managing regulatory risks and compliance for Pension Insurance Corporation. Working collaboratively to maintain effective regulatory strategies and relationships with UK regulators.
Senior Engineer advising on certification processes for aerospace at Boeing. Engaging in compliance reviews and educational material development across multiple sites.
Responsable de la conformité et des systèmes qualité au sein de Pharmascience sur le site de Candiac. Participation à la gestion des audits internes et des systèmes qualité pour assurer la conformité.
Chef Formation Conformité supervisant activités de formation conformité dans l’industrie pharmaceutique. Gestion du programme de formation et conformité aux exigences réglementaires.
Lead regulatory affairs strategies ensuring compliance for pharmaceutical submissions. Collaborate with cross - functional teams and regulatory authorities for product development success.