3 months ago
A wealth management partner of ours in Southern California is looking for an experienced Compliance Manager to join their growing organization. The Compliance Manager will assist the CCO with the effective implementation and administration of company’s compliance program.
As a Compliance Manager, you will:
- Support compliance program, including identification of key risks, assisting with developing/updating policies, as required and extending program to subsidiaries and other related entities.
- Assist Chief Compliance Officer and other in-house counsel with ad hoc research and projects as necessary
- Conduct compliance risk assessments, testing and monitoring in accordance with client agreements, regulatory requirements and best practices.
- Coordinate the development and administration of compliance training initiatives for the firm.
- Foster strong partnerships with other support functions whose teams execute required compliance program components.
- Support response to due diligence questionnaires and investigations related to various third party business relationships.
As a Compliance Manager, you will need:
- 5+ years’ relevant auditing or compliance experience in real estate or alternative asset management preferred (SEC-registered investment adviser a plus)
- Understanding of Enterprise Compliance Risk Management and best practices
- Excellent investigative, problem solving, analytical ability, oral and written communication skills
- The ability to manage stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving
- Ability to effectively communicate with senior management and executives
- Strong interpersonal skills to influence and impact business decisions
- Ability to evaluate federal laws and regulations and evaluate financial, transactional or other data to determine trends
- Strong analytical mindset with an ability to synthesize data and quickly identify and resolve issues and with attention given to detail and accuracy
- Technical and professional skills or knowledge of testing methodology, risk and controls analysis
- Ability to lead and execute multiple projects (short and long term) and tasks independently, accurately and on time
- Experience with drafting, implementing and testing policies and procedures
- IACCP Certification
- Familiarity with EFG initiatives
If you are a skilled Compliance Manager, you can apply by:
Selecting the “Apply” button below or by contacting me directly.
As a Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Financial Services and Banking Institutions across the West Coast. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:
Hannah Twomey, firstname.lastname@example.org, 619-324-0225