Managing Director Compliance

  • Competitive Base & Bonus
  • Chicago, IL, USA
  • Permanent, Full time
  • Ashton Lane Group
  • 23 Oct 17 2017-10-23

Senior position managing the compliance audits, financial analysis, investigations and surveillance within a financial services regulatory environment.


  • Oversee the Compliance department and carry out the core functions of the regulatory program in all the major functional areas
  • Assist in the development of the organization's policies
  • Monitor department's progress in goals and major functional areas. Assist department as needed and motivate department to ensure highest level of productivity.
  • Complete all performance management functions including effectively coaching subordinates, providing meaningful feedback in evaluations to subordinates, and guiding subordinates in career development.
  • Actively participate in the review of department and organizational functions and promote organizational initiatives through involvement with staff.
  • Actively seek initiatives or create new innovative ways for enhancing productivity within the department.
  • Represent and promote organizational initiatives, including educational initiatives by interacting with our members, industry representatives and other outside organizations.
  • Facilitate relationships with other departments. Work with other departments to ensure compliance-related work processes are effective and efficient. Make suggestions as needed.


  • 10+ years’ experience in an audit, regulatory, or compliance function, particularly involving OTC derivatives.
  • Experience managing a large group of individuals
  • Risk management and other experience in OTC derivatives a plus.
  • Familiarity with the OTC derivatives market IRS, CDS, Equity, Commodity and Energy, etc.
  • Strong networking and relationship building skills.
  • Excellent oral and written communication skills.
  • Bachelor's/Master’s Degree

For immediate consideration, please forward resume and contact details to:

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