AmTrust Financial (AFSI) is seeking a proactive industry professional to join their Compliance Department in New York as a dedicated Senior Compliance professional to oversee various aspects of the firms compliance program. Areas of focus will include asset management, privacy, data protection, financial crime and general compliance program development. This person will report directly to the firms CCO, and responsibilities will include:

• Support the Global Chief Compliance Officer (CCO) on compliance strategic initiatives and all compliance matters related to the firms asset management affiliates and advisors to ensure that the firm is in compliance with all laws and regulations, and all compliance matters are adequately escalated and resolved.
• Develop and execute compliance program with appropriate controls to ensure effective compliance oversight of asset management activities to include periodic and ongoing assessments of the program.
• Develop compliance/risk manual and other required procedures with suitable application of rules and regulations of asset management/trading activities.
• Implement monitoring controls and processes to oversee application of rules and procedures related to asset management activities.
• Ensure compliance as related to insurance company investment programs including intercompany transaction controls and investment procedures.
• Responsible for monitoring compliance with all laws and regulations for designated area of direct responsibility, including business line trade monitoring and due diligence.
• Monitor and understand VAR and P&L calculations and assumptions as required
• Generate ideas to enhance compliance program enterprise-wide, focus on risk-based approach to compliance monitoring, eliminate duplications and inefficiencies, increase effectiveness to ensure that highest risks are properly identified and mitigated.
• Drafting and updating compliance policies and testing procedures, liaising with business partners as well as legal and outside consultants to identify and mitigate compliance risks, and analyzing the effect of new business initiatives and investment products on the compliance program.
• Prepare regulatory filings as needed
• Other responsibilities will include: assisting in preparing for and responding to inquiries and audits from regulatory authorities and assisting in the development of regulatory reporting and regulatory filings.
• Develop and execute compliance program around privacy and data protection as legislation and regulation are adopted that affect firm in coordination with global compliance mandate
• Work in coordination with Chief Information Officer and Chief Information Security Officer to mature firms practices around privacy and security and appropriate policies and response plans
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our activities

• 6+ years of compliance and/or risk management experience
• Asset management industry experience a must, including mutual fund business
• A solid understanding of U.S. and international securities laws Investment Company Act of 1940, the Commodity Exchange Act. UK FCA rules and regulations and Dodd-Frank regulations a plus.
• Knowledge of SEC and FINRA regulations and filing requirements
• Privacy and security regulation/legislation knowledge
• GDPR knowledge a plus
• Strong written and oral communications skills and team building focus
• Organized, detail oriented and extremely thorough while having the confidence and communication skills to ensure work processes are completed accurately and appropriately
• Willing to roll up their sleeves to perform any and all responsibilities needed to ensure succes