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.

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.