Lead impactful compliance initiatives at a top-tier financial services firm. Enhance regulatory adherence and ethical practices through innovative strategies. Collaborate with professionals to ensure compliance excellence and growth.
Compliance Manager
in Accounting + Finance PermanentJob Detail
Job Description
Overview
- Drive compliance initiatives within a leading financial services firm, ensuring adherence to industry regulations and ethical standards.
- Collaborate with cross-functional teams to enhance compliance systems and processes effectively.
- Administer compliance systems, ensuring accurate data management and regulatory alignment.
- Conduct compliance testing and risk assessments to identify and mitigate potential issues.
- Review marketing materials and investor communications for regulatory compliance.
- Support onboarding processes by providing compliance training to new employees.
- Assist in preparing and submitting regulatory filings, including Form ADV and Form PF.
- Contribute to the development and enhancement of compliance training programs.
Key Responsibilities & Duties
- Administer compliance systems, managing data feeds, user profiles, and system updates effectively.
- Act as the primary contact for employee approvals and surveillance activities.
- Review and analyze potential conflicts or violations of the firm's Code of Ethics.
- Conduct routine and ad hoc compliance testing, ensuring regulatory adherence.
- Ensure marketing materials and investor communications comply with industry regulations.
- Provide compliance onboarding and training for new employees, fostering awareness and adherence.
- Assist in preparing regulatory filings, including Form ADV and Form PF submissions.
- Enhance compliance training programs and risk assessment processes to improve effectiveness.
Job Requirements
- Bachelor of Science (BS) degree required; advanced degree preferred.
- Minimum of 4 years of compliance experience; 8 years preferred.
- Proficiency in compliance systems, such as ComplianceAlpha, is essential.
- Strong knowledge of financial regulations and ethical standards.
- Experience in regulatory filings, including Form ADV and Form PF.
- Excellent analytical and problem-solving skills to address compliance challenges.
- Ability to work effectively in a hybrid work environment, balancing remote and onsite tasks.
- Exceptional communication and interpersonal skills to collaborate with diverse teams.
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