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Job

Compliance Manager

  • Location

    Remote

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    Competitive

  • Contact:

    Hannah Twomey

  • Contact email:

    h.twomey@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    2 months ago

  • Expiry date:

    2023-04-15

  • Startdate:

    ASAP

A real estate investment partner of ours in Southern California is looking for a skilled Compliance Manager to join their organization. The Compliance Manager is responsible for the overall development, oversight and administration of the compliance function and the managing and directing of the compliance program. The manager has overall compliance responsibilities and is responsible for the monitoring and testing of all compliance policies and procedures. The compliance manager is also primary contact for coordinating regulatory inquiries and examinations.

 

As a Compliance Manager, you will:

  • Support the compliance program, including identification of key risks, assisting with developing/updating policies, as required and extending program to subsidiaries and other related entities
  • Conduct compliance risk assessments, testing and monitoring in accordance with client agreements, regulatory requirements, and best practices
  • Conduct review and approval of marketing/advertising materials
  • 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
  • Responsible for production of assigned regulatory deliverables, reports, and ad hoc requests
  • Support response to due diligence questionnaires and investigations related to various third-party business relationships
  • Assist Chief Compliance Officer and other in-house counsel with ad hoc research and projects as necessary
  • Prepare appropriate documentation and respond to compliance questions internally and externally

 

As a Compliance Manager, you will need:

  • MBA degree or professional certification preferred
  • 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
  • IACCP certification preferred
  • Familiarity with ESG initiatives
  • Ability to evaluate federal laws and regulations and evaluate financial, transactional or other data to determine trends
  • 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

 

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 Wealth Management 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, h.twomey@hamlynwilliams.com, 619-324-0225

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