Deputy Compliance Leader - Financial Services

Overview

Lead compliance for GE Vernova Financial Services, managing risk, due diligence, and duties.

Key Responsibilities

• due diligence
• broker compliance
• risk assessment
• enhanced monitoring
• regulatory analysis
• control implementation

Tasks

-Due Diligence: 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. -Broker-Dealer Compliance: 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. -Risk Assessment: 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. -Enhanced Due Diligence: 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. -Executive Communication & Buy-In: Provide clear, actionable recommendations aligned to the strategic risk profile of the Company to the EDGE Chief Compliance Officer and commercial resources. -Strategic Advice & Execution: 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. -Registered Investment Adviser Obligations: Assess compliance obligations and execute controls aligned to various advisory and capital markets products and services, including third-party fundraising and management.

Requirements

• series 7
• fca handbook
• aml
• mifid-ii
• 10+ years
• bachelor's

What You Bring

-Holds U.S. securities industry licenses, such as SIE, Series 7 and Series 24. -Demonstrated understanding of the UK Financial Conduct Authority (FCA) Handbook, underlying compliance principles, regulator expectations and regulatory frameworks. -Experience with and understanding of compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC). -Energy sector, infrastructure and/or development investment experience. -Strong analytical, written and oral communication and problem-solving skills. -10+ years’ experience mainly focused on Compliance-related roles. Combined Compliance, Legal and/or Audit experience will also be considered. -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. -Demonstrated understanding of debt financing products, investment and equity products, financial advisory services and their impact on and relevancy to compliance operations. -Experience with asset management, fund management, brokerage activities for securities transactions and/or capital raising. -Experience with strategy, design, implementation and maintenance of preventive and detective controls underpinning an effective global compliance program. -Bachelor’s degree from an accredited university; advance degree preferred. -Experience with Markets in Financial Instruments Directive (MiFID-II) and Capital Requirements Directive IV (CRD-IV) frameworks and regulatory requirements. -Resourceful, with demonstrated skill in managing multiple concurrent priorities and deadlines. -Experience advising senior management, crafting creative solutions and evaluating multiple business objectives against compliance principles and best practices. -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. -Proven support for complex transactions and demonstrated ability translating diligence into compelling recommendations that drive action and decision-making. -Master’s or Law degree. -Experience with and understanding of compliance obligations for broker-dealers which are FINRA-member firms.

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About Ge Vernova

-Traces roots back to Edison and Alstom, merging power, renewable, digital & financial wings. -Headquartered in Cambridge, MA, crafts large-scale gas turbines, SMRs, wind turbines, hydro and grid tech to fuel economies. -On the nuclear front, advancing small modular reactors (like BWRX‑300) in partnership with utilities and supporting semiconductor projects. -Wind prowess spans onshore, offshore and blade making—with key sites like Dogger Bank offshore and blade plants in Spain. -Electrification arm tackles grid stability: HVDC, transformers, storage, conversion, plus GridOS software powering smarter infrastructure. -Weaves finance and consulting through energy-infrastructure investments, funding solar farms to pipelines via GE Energy Financial Services.

Sector Specialisms

Security Clearance

-employment offer contingent on successful drug screening.