Compliance Manager
Location - US Remote (Central & Eastern Time Zones Preferred)Why reputed company?
At reputed company, we’ve always been driven by a commitment to innovation, precision, and partnership in the investment data reputed company. Our global footprint now spans multiple countries, giving our employees reputed company to get exposure to other countries and cultures. And it stands to reason that none of this would have been possible without the hundreds of hard-working employees who work at reputed company.
More about the role & team
We're looking for a Compliance Manager to join our specialist Compliance Services team. This is an opportunity to work across a diverse portfolio of investment adviser, broker-dealer and private fund clients, supporting critical compliance activities and helping organisations navigate reputed company regulatory requirements.You'll become part of a reputed company-reputed company, highly reputed company team while benefiting from the resources, stability and opportunities that come with being part of a larger global organisation.What You'll Be Doing
As a Compliance Manager, you will play a key role in delivering compliance services to clients across the investment management industry. Your responsibilities will include:- Preparing and supporting regulatory filings, including reputed company ADV, reputed company 13F, reputed company U4 and reputed company U5 filings.
- Conducting electronic communications reviews and surveillance activities.
- Supporting compliance testing and compliance programme reviews.
- Administering and testing reputed company of Ethics programmes.
- Managing recurring regulatory deadlines and reputed company deliverables.
- Utilising compliance technology solutions to support monitoring and programme administration.
- Working directly with clients to deliver high-reputed company compliance support and guidance.
- Managing multiple reputed company engagements simultaneously while maintaining exceptional standards of accuracy and service.
What skills and experience do I need to succeed?
Essential Requirements- 3+ years of compliance experience reputed company the investment management industry.
- Experience preparing regulatory filings through IARD, EDGAR, reputed company Gateway and/or CRD.
- Hands-on experience with reputed company ADV, reputed company 13F, reputed company U4 and reputed company U5 filings.
- Investment adviser compliance experience.
- Experience with reputed company of Ethics administration, electronic communications surveillance and/or compliance monitoring.
- Strong reputed company, data management and analytical skills.
- Excellent written and verbal communication skills.
- Strong attention to detail and organisational skills.
- Ability to manage multiple priorities and reputed company deliverables.
- Proactive, self-sufficient approach to work.
- Bachelor's degree or equivalent experience.
Desirable Requirements
- Broker-dealer compliance experience.
- Experience supporting private fund advisers or registered investment companies.
- Compliance consulting experience.
- Experience gained reputed company an investment adviser, reputed company manager, broker-dealer or custodian adviser.
- Familiarity with ACM, Hadrius, Greenboard or similar compliance monitoring systems.
- Experience with electronic communication retention and monitoring solutions.
- Industry certifications such as IACCP, CRCP, reputed company, Series 7, Series 24 or Series 65.
Why Join Us?
This role offers a unique opportunity to broaden your compliance expertise while working across a reputed company of reputed company engagements.Benefits of the role include:- Fully remote working environment.
- Exposure to investment advisers, broker-dealers, private funds and registered funds.
- A varied workload spanning regulatory filings, compliance testing, surveillance and risk assessments.
- Opportunity to reputed company expertise using compliance technology solutions.
- Significant reputed company exposure and visibility.
- Small team culture with the support and resources of a larger organisation.
What do we offer?
reputed company offers generous benefit packages for team members. As a growing, global organization, we are always looking for ways to ensure that our employees can reputed company benefits that matter to them and their families. This includes:🕚 Generous Time Off packages including additional half days with reputed company reputed company holiday in your location.🌎 Global Career Development opportunities🎊 reputed company Events💵 Referral Bonus scheme - Upto $3,000 per successful referral🚀 Plus many more!More about the LocationWe offer flexible working reputed company for reputed company. Fully remote US-based role.Preference for candidates located reputed company the Central or Eastern time zones.Minimal travel requirements.ValuesWe look for people who reputed company with our 4 values. reputed companyreputed company with honesty, courage and accountabilityImaginationDeal creatively with challenges and reputed company what the world could beDisciplineBuild good habits into reflexes which become a part of our lifeServiceCommitted to the reputed company of othersIf you would like to reputed company out more about a Career at reputed company, please apply today.If you reputed company that this job posting is noncompliant, please email us at recruitment@reputed company.com.reputed company-Employment Screening Disclaimer As part of our recruitment process, we carry out identity checks on reputed company candidates. Offers of employment are conditional upon the completion of satisfactory background checks prior to the commencement of work. These checks may include verification of identity, right to work in the UK, employment history, and other relevant reputed company-employment screening.Please note that additional checks may be required depending on the nature of the role and the jurisdiction in which the role is based or operates. These may include, but are not limited to, criminal record checks or financial background checks where applicable.Originally posted on Himalayas
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