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Compliance Manager

3 months ago

Dallas, United States AlTi Tiedemann Global Full time

Company Description

AlTi Tiedemann Global (“ALTi”) is a NASDAQ listed global wealth and alternatives manager, in the business of turning powerful ideas into high-performing strategies and solutions. The firm currently manages or advises on approximately $68 billion in combined assets and has an expansive network with over 490 professionals across three continents


Whether our clients are individuals or institutions, foundations or family-led businesses, we offer a connected ecosystem of advice, solutions and innovative investment opportunities from across our global network.


We are passionate about finding better ways to serve our clients. We approach problems with open-mindedness and a restless entrepreneurial spirit to deliver more for clients.

Our culture is rooted in curiosity. We support the unique qualities of each team member and the entrepreneurial spirit shared by all of us. We come from different backgrounds and offer different perspectives. We believe these differences make us better suited for a fast-changing world.


As a growing global firm with offices in ten countries on four continents, we are looking for talented individuals to expand our team. If you share our passion for ideas and commitment to excellence, we want you to join us.

To learn more visit alti-global.com.


Job Description

AlTi is looking for an experienced compliance professional to join the Legal/Compliance team. This role will be focused on maintaining the firm’s compliance program in satisfaction of regulatory obligations, including assisting with the development and implementation of policies and procedures, managing the firm’s external compliance resources, and performing other day-to-day compliance functions. This position will have frequent and direct contact with employees and serve as an accessible and informed representative of the Legal/Compliance team. The Compliance Manager will report to the Chief Compliance Officer of AlTi’s U.S. Wealth Management Division.


Job Responsibilities

  • Implement and enforce the firm’s compliance policies and procedures, including overseeing Code of Ethics compliance for employees
  • Perform compliance monitoring, testing, and reporting, including driving the annual assessment process
  • Identify potential areas of compliance vulnerability and risk and lead projects relating to the enhancement of compliance procedures, policies and internal controls
  • Draft compliance procedures, document compliance findings, and maintain compliance logs
  • Manage external compliance vendors, including consulting firms, auditors, and software providers
  • Prepare regulatory filings (e.g., ADV, 13F, 13H, etc.) in conjunction with the Legal/Compliance team
  • Conduct compliance training and onboarding for new employees and provide ongoing education to existing employees
  • Perform and sign off on AML/KYC reviews of prospective clients
  • Understand regulatory requirements, stay informed of new developments, and help design and implement responsive compliance efforts
  • Assist with responding to regulatory inquiries and on-site examinations
  • Perform firm and fund administrative tasks such as maintaining LEIs, forming entities, and assisting with regulatory mailings
  • Assist with special projects as needed and work with various departments to complete compliance-related initiatives


Qualifications

  • Bachelor’s degree required
  • Minimum 6 years of financial services compliance experience with an SEC-registered investment adviser or SEC compliance consulting firm
  • Strong working knowledge of SEC rules and regulations applicable to investment advisory firms
  • Facility with compliance-related technologies and systems
  • Superior written and verbal communication skills, including experience in drafting short memos and/or compliance policies
  • Excellent interpersonal skills and ability to interact effectively and work diplomatically with individuals at all levels
  • High level of professionalism and discretion
  • Admirable work ethic and commitment to consistently delivering quality work product in a timely manner
  • Ability to manage and prioritize multiple tasks and navigate a fast-paced, team-oriented environment
  • Ability to identify opportunities for improvement and to facilitate the implementation of creative solutions and efficient systems
  • Ability to work independently, as well as an eagerness to take ownership of and effectively resolve problems