Compliance Manager
4 weeks ago
As a Compliance Manager - Investment Management, you will play a critical role in ensuring that our firm's policies and procedures are up-to-date and aligned with regulatory requirements. You will work closely with senior members of Compliance and business management to identify, research, and analyze complex issues related to compliance monitoring, testing, and audit practices.
Key Responsibilities- Oversee compliance programs for assigned business entities to ensure integration and alignment with business processes.
- Monitor portfolio compliance for designated business groups and interpret investment guidelines to meet investment policy rules.
- Coach, train, and mentor less experienced Compliance Specialists and serve as a team lead for more junior compliance associates.
- Support adjustments to existing programs, policies, and procedures as required and ensure that compliance activities are commensurate with the level of risk being mitigated.
- Provide escalated support and guidance to compliance efforts in assigned business entities and inform Senior Compliance Management about issues that may involve rule violations or potential liability.
- Assist management in implementing adequate controls and quality assurance processes to detect and address potential compliance problems and research compliance issues.
- Develop and maintain compliance policies and procedures and report compliance program status and activities to Compliance and business management.
- Manage external compliance examinations and ensure that requested information and reports are provided.
- Make risk-based recommendations to Senior Management using extensive industry knowledge to review products, production, and asset value changes across the firm's business lines.
- Bachelor's Degree (B.A./B.S.) in a related discipline and a minimum of six (6) years of experience in Compliance and/or the financial services industry.
- Knowledge of compliance monitoring, testing, audit practices, and applicable U.S. broker-dealer and registered investment adviser regulatory requirements and controls.
- Ability to provide training, coaching, and mentoring for others and partner with other functional areas to accomplish objectives.
- Facilitate meetings, ensure that all viewpoints, ideas, and problems are addressed, and attend to detail while maintaining a big picture orientation.
- Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate.
- Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
- Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
- Work independently as well as collaboratively within a team environment and provide a high level of customer service.
- Maintain confidentiality and establish and maintain effective working relationships at all levels of the organization.
- Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.
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