Compliance Manager

Location: US Remote (Central & Eastern Time Zones Preferred)

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 complex regulatory requirements. You'll become part of a close-knit, highly collaborative team while benefiting from the resources, stability and opportunities that come with being part of a larger global organisation.

Responsibilities

• Preparing and supporting regulatory filings, including Form ADV, Form 13F, Form U4 and Form U5 filings.
• Conducting electronic communications reviews and surveillance activities.
• Supporting compliance testing and compliance programme reviews.
• Administering and testing Code of Ethics programmes.
• Managing recurring regulatory deadlines and client deliverables.
• Utilising compliance technology solutions to support monitoring and programme administration.
• Working directly with clients to deliver high-quality compliance support and guidance.
• Managing multiple client engagements simultaneously while maintaining exceptional standards of accuracy and service.

Requirements

• 3+ years of compliance experience within the investment management industry.
• Experience preparing regulatory filings through IARD, EDGAR, FINRA Gateway and/or CRD.
• Hands-on experience with Form ADV, Form 13F, Form U4 and Form U5 filings.
• Investment adviser compliance experience.
• Experience with Code of Ethics administration, electronic communications surveillance and/or compliance monitoring.
• Strong Excel, data management and analytical skills.
• Excellent written and verbal communication skills.
• Strong attention to detail and organisational skills.
• Ability to manage multiple priorities and client deliverables.
• Proactive, self-sufficient approach to work.
• Bachelor's degree or equivalent experience.

Qualifications

• Broker-dealer compliance experience.
• Experience supporting private fund advisers or registered investment companies.
• Compliance consulting experience.
• Experience gained within an investment adviser, wealth 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, ACAMS, Series 7, Series 24 or Series 65.

Benefits

• 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 develop expertise using compliance technology solutions.
• Significant client exposure and visibility.
• Small team culture with the support and resources of a larger organisation.
• Generous Time Off packages including additional half days with each public holiday in your location.
• Global Career Development opportunities.
• Social Events.
• Referral Bonus scheme - Up to $3,000 per successful referral.

Schedule

Fully remote US-based role. Preference for candidates located within the Central or Eastern time zones. Minimal travel requirements.

Values

We look for people who align with our 4 values:

• Integrity: Face reality with honesty, courage and accountability.
• Imagination: Deal creatively with challenges and envision what the world could be.
• Discipline: Build good habits into reflexes which become a part of our life.
• Service: Committed to the success of others.