Compliance Manager

This is a fully remote position, open to applicants in United States.

📋 Description

• Preparing and assisting with regulatory submissions, such as Form ADV, Form 13F, Form U4, and Form U5 filings.

• Conducting reviews of electronic communications and surveillance activities.

• Supporting compliance testing and evaluations of compliance programs.

• Administering and assessing Code of Ethics programs.

• Overseeing recurring regulatory deadlines and client deliverables.

• Utilizing compliance technology solutions to facilitate monitoring and program management.

• Collaborating directly with clients to provide high-quality compliance support and advice.

• Managing multiple client engagements simultaneously while upholding exceptional standards of accuracy and service.

⛳️ Requirements

• A minimum of 3 years of compliance experience in the investment management sector.

• Experience in preparing regulatory filings through IARD, EDGAR, FINRA Gateway, and/or CRD.

• Practical experience with Form ADV, Form 13F, Form U4, and Form U5 filings.

• Knowledge of investment adviser compliance.

• Familiarity with Code of Ethics administration, electronic communications surveillance, and/or compliance monitoring.

• Strong proficiency in Excel, data management, and analytical skills.

• Exceptional written and verbal communication abilities.

• Keen attention to detail and organizational skills.

• Capability to manage multiple priorities and client deliverables effectively.

• A proactive and self-sufficient work approach.

• A bachelor's degree or equivalent experience.

• Broker-dealer compliance experience is desirable.

• Experience in supporting private fund advisers or registered investment companies is a plus.

🏝️ Benefits

• Generous Time Off packages including additional half days for each public holiday in your area.

• Opportunities for global career development.

• Social events.

• Referral bonus scheme - Up to $3,000 for each successful referral.

• Plus many more!