Compliance Manager

Full Time

Financial Services Client

Office Status: Hybrid

Job Responsibilities

  • Support the Global Compliance Manager with project management activities and coordination for the implementation of the Global Compliance strategy, plan and projects within AMER as prioritized by the Global Head of Compliance
  • Be the AMER Compliance FCO (Function Control Owner) for the ERMF (Enterprise Risk Management Framework) which involves being the key regional Compliance lead for Control Attestation coordination, MI gathering and monitoring of any Compliance Risk Events and Issues/Actions
  • As the FCO, have a key role in the resolution of risk events and issues/actions. This may include Internal Audit actions and mitigating high priority Compliance risks and providing sufficient Compliance input to ensure risks and issues are resolved within specified timescales and with the appropriate remedial action
  • Lead the gathering and production of Compliance MI and other Compliance reporting required for regional and global Committees ensuring consistency and clarity of message. Liaise with key stakeholders such as the Business and Risk to collate and analyze information
  • Support the second line review of the Businesses activities to manage Compliance risks and ensure adherence to compliance controls. Oversee and guide the Business as required to manage effective compliance across various components of the US compliance program, for example training completion, supervisory processes/checklists, implementation and embedding of policies and procedures and records and retention
  • Identify any resources, process and capability gaps with the AMER Compliance team and help the Global Compliance Manager and AMER Head of Compliance to formulate appropriate remedial approaches
  • Where required, support the Global Compliance Manager with any activities related to Global Compliance Strategy projects which might sit outside of immediate AMER remit (e.g., support QA of Controls Attestations and MI across the regions)
  • Support the Global Compliance Manager with any ad hoc requirements as they arise in the course of business


  • 3-5 years of experience
  • Compliance experience in financial services in wholesale markets – Broker dealer or hedge fund
  • Someone who comes from a regulator/FINRA is good
  • General understanding of regulatory landscape
  • They will be doing risk and controls type work
  • Risk background helpful – 2nd line of defense
  • Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.
  • Someone who has worked for a COO could be good– liaising with various different support areas or business people , gathering information, strategically managing projects, working across disciplines with an eye towards control type issues
  • Gather information and synthesize it
  • Experience influencing


  • A track record of analyzing information and applying it in the context of the current business environment to manage compliance risks;
  • A track record of managing outcomes that are critical to the success of a compliance activity, through demonstrating the value of that compliance activity to stakeholders outside the Compliance function;
  • Ability to work with senior stakeholders to generate ideas and implement agreed vision and strategies;
  • Ability to design and deliver solutions for managing rule driven requirements across functions (whether regulatory, legal, statutory, technology, financial etc.);
  • Ability to influence staff at all levels in adopting new initiatives, processes or procedures;
  • Ability to pragmatically assess business problems to identify proportionate solution options;
  • Ability to drive consensus solutions among various stakeholders (sometimes with opposing views) to deliver positive outcomes;
  • Autonomous, rounded judgement and ownership to deliver high quality results / outcomes;
  • Clear, concise and contextualized verbal, written and presented communications
  • Ability to deliver best practice outcomes against key business or program objectives; and
  • Excellent planning and execution skills, attention to detail, analytical ability and problem-solving skills.
  • Understanding of Wholesale Financial Markets including inter-dealer broking and regulatory requirements in America; and
  • Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.
  • Solid experience within Compliance / Regulatory law across diverse fields of knowledge
  • Broad based compliance experience, covering front office and awareness of back office, settlement and clearing systems; and
  • Experience of a Compliance Function and of front office compliance processes.
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