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Compliance Manager
ConfluenceCompliance Manager supporting regulatory filings and compliance activities for investment management clients. Join a global team dedicated to delivering high-quality compliance support and guidance.
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory compliance within the investment management industry, including preparation of regulatory filings and administration of compliance programs. Proficient in managing client engagements while ensuring high standards of accuracy and service.
Highest-signal resume keywords
Regulatory Filings PreparationInvestment Adviser ComplianceCode Of Ethics AdministrationElectronic Communications SurveillanceData Management And Analytical Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
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Hard Skills
Regulatory FilingsForm ADVForm 13FForm U4Form U5Compliance TestingCompliance MonitoringExcelData ManagementAnalytical Skills
Soft Skills
Written CommunicationVerbal CommunicationAttention To DetailOrganisational SkillsProactive Approach
Tools & Technologies
IARDEDGARFINRA GatewayCRDCompliance Technology Solutions
Certifications & Qualifications
Bachelor's Degree
Industry Keywords
Investment ManagementBroker-Dealer CompliancePrivate Fund AdvisersRegistered Investment Companies
About the role
Key responsibilities & impact- Preparing and supporting regulatory filings, including Form ADV, Form 13F, Form U4 and Form U5 filings.
- Conducting electronic communications reviews and surveillance activities.
- Supporting compliance testing and compliance programme reviews.
- Administering and testing Code of Ethics programmes.
- Managing recurring regulatory deadlines and client deliverables.
- Utilising compliance technology solutions to support monitoring and programme administration.
- Working directly with clients to deliver high-quality compliance support and guidance.
- Managing multiple client engagements simultaneously while maintaining exceptional standards of accuracy and service.
Requirements
What you’ll need- 3+ years of compliance experience within the investment management industry.
- Experience preparing regulatory filings through IARD, EDGAR, FINRA Gateway and/or CRD.
- Hands-on experience with Form ADV, Form 13F, Form U4 and Form U5 filings.
- Investment adviser compliance experience.
- Experience with Code of Ethics administration, electronic communications surveillance and/or compliance monitoring.
- Strong Excel, data management and analytical skills.
- Excellent written and verbal communication skills.
- Strong attention to detail and organisational skills.
- Ability to manage multiple priorities and client deliverables.
- Proactive, self-sufficient approach to work.
- Bachelor's degree or equivalent experience.
- Broker-dealer compliance experience (Desirable).
- Experience supporting private fund advisers or registered investment companies (Desirable).
Benefits
Comp & perks- Generous Time Off packages including additional half days with each public holiday in your location.
- Global Career Development opportunities
- Social Events
- Referral Bonus scheme - Upto $3,000 per successful referral
- Plus many more!