Senior Compliance Manager – Enhanced Monitoring & Supervision

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

📋 Description

• Implement and uphold the High Risk Client Framework.

• Create and establish a framework for identifying and evaluating high-risk clients.

• Develop a risk scoring methodology and define high-risk criteria based on client risk indicators, regulatory obligations, and firm risk thresholds.

• Supervise enhanced due diligence-style reviews.

• Monitor activities of internal employees and advisors for elevated compliance risks.

• Evaluate outside business activities and conflicts of interest.

• Identify patterns and behaviors that signify increased risk.

• Design and manage heightened supervision plans.

• Track compliance adherence and escalate issues as necessary.

• Ensure proper remediation and documentation processes are in place.

• Monitor high-risk business practices, including onboarding, fees, and vendor relationships, for conflicts of interest and any inconsistent or suspicious activities.

• Identify policy deviations and emerging risk areas.

• Participate in internal reviews prompted by customer feedback or internal escalations.

• Conduct risk assessments for clients, employees, and business practices.

• Develop dashboards and reports for senior management.

• Assist in regulatory readiness and audit documentation.

⛳️ Requirements

• A Bachelor’s degree is required.

• Over 5 years of experience in compliance or risk management.

• Comprehensive knowledge of investment adviser regulations, AML, and enhanced due diligence requirements.

• Strong analytical, investigative, and documentation abilities.

• Capability to exercise sound judgment and maintain confidentiality in sensitive matters.

• Excellent written and verbal communication skills, including the ability to interact with regulators.

• Proficiency in Microsoft Office applications (Excel, Word, Outlook, PowerPoint).

• CAMS or an equivalent AML certification is preferred.

🏝️ Benefits

• Company Paid Basic Life & AD&D Insurance.

• Company Paid Short-Term and Long-Term Disability Insurance.

• Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance.

• Three Cigna medical plans offerings, including two High Deductible Health Plans and a Traditional Co-Pay medical plan.

• Kaiser Medical plans available in California.

• Health Savings Account (HSA) with company contributions for those enrolled in either HDHP medical plan.

• Two comprehensive Dental Plans.

• Vision Insurance Plan.

• Dependent Care Savings Account for child and dependent care expenses.

• 14 Company Paid Holidays, including a full week off at Thanksgiving.

• A generous paid time off program for vacation and sick days.

• Employee Assistance Plan.

• Family Medical Leave.

• Paid Parental Leave (8 weeks).

• Maternity benefits using company-paid STD, any supplemental STD, plus Parental Leave (8 weeks) to allow time for recovery, bonding with the baby, and enjoying family time.

• Adoption Assistance Reimbursement Program.

• Company Paid Concierge Services for you and your loved ones, catering to the spectrum of caring needs for aging parents, young children, and life's challenges.

• 401(k) Retirement Plan with both Traditional and Roth options, including per pay period matching and an after-tax option.

• Pet Insurance.

• Personalized financial planning and guidance from Mercer Advisors professionals, available at preferred employee pricing.