Compliance Manager
3 weeks ago
Responsibilities:
- Develop and maintain a comprehensive understanding of the business areas, products, and supporting functions.
- Identify risks, assess mitigating controls, and make recommendations to improve the control environment.
- Follow up on open issues and ensure their resolution.
- Prepare various regulatory filings.
- Create, implement, review, and analyze reports for compliance monitoring.
- Administer the Code of Ethics compliance program, including oversight of personal trading, gifts and business entertainment, and political contributions.
- Assist with compliance training programs.
- Stay abreast of new rules and regulations, implementing processes and controls in accordance with compliance dates.
- Conduct regular testing of the compliance program across multiple business units.
- Coordinate with various internal and external parties to ensure completion of various tasks.
Requirements:
- Bachelor's degree required; legal/compliance, finance, and accounting background a plus.
- 5+ years of relevant work experience, with familiarity with the Advisers Act and/or Investment Company Act; experience in public accounting, due diligence, internal audit, or similar roles in the financial services industry is beneficial.
- Strong written and verbal communication skills.
- Highly motivated with the ability to multitask and remain organized in a growing and fast-paced environment.
- Attention to detail and ability to see projects through to completion.
- Able to work under minimal supervision on individual tasks or on team projects with a strong sense of ownership and accountability.
- Accurate, accountable, and able to multitask while managing both time and workload.
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