Compliance Manager

We are seeking an experienced compliance professional to lead the compliance program for an Asset Management business within a global financial services organization.

Reporting to the Chief Compliance Officer, this role will oversee legal, regulatory, and compliance risks associated with investment management activities in a SOX environment. The successful candidate will partner closely with business and functional leaders to ensure strong governance, regulatory compliance, and effective controls across multiple adviser entities.

Applying for this role is straight forward Scroll down and click on Apply to be considered for this position.

Key Responsibilities

• Develop and maintain compliance policies, procedures, and controls for investment management activities.
• Oversee regulatory and compliance filings and support regulatory inquiries.
• Monitor legal and regulatory developments and assess their impact on the business.
• Conduct risk assessments and risk-based compliance testing; recommend and implement enhancements.
• Support securities offering, governance, investor, and operational due diligence requirements.
• Develop and deliver compliance training.
• Maintain required compliance and corporate records.
• Partner with Legal, Compliance, Risk, and business teams globally to promote consistent and effective practices.
• Serve as a trusted compliance advisor to senior business stakeholders.

Qualifications

• 6+ years of compliance experience with an SEC-registered investment adviser, exempt reporting adviser, and/or regulated investment business.
• Strong knowledge of securities and asset management regulations.
• Familiarity with the Investment Advisers Act and related securities, investment company, and commodities regulations.
• Strong understanding of compliance risk and ability to develop pragmatic solutions.
• Excellent communication, collaboration, and stakeholder management skills.
• Strong attention to detail and sound business judgment.
• Bachelor's degree required; advanced or professional qualifications are a plus.