Compliance Manager
Softcard (acquired by Google)
full-time
Posted on:
Location Type: Hybrid
Location: New York City • New York • Texas • United States
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Salary
💰 $140,000 - $160,000 per year
About the role
- Design, scope, and execute risk‑based compliance reviews aligned with the annual test plan, identifying relevant regulations, key risks, and controls
- Develop and perform detailed testing to assess control design and operating effectiveness and evaluate compliance with policies and regulatory requirements
- Engage with business and support teams through interviews, walkthroughs, and process reviews to understand activities, risks, and controls
- Document all testing procedures, evidence, and conclusions clearly and comprehensively
- Identify and articulate findings—including control gaps, deficiencies, and risk exposures—and prepare clear reports for stakeholders and management
- Collaborate with business partners to draft remediation plans, support timely corrective actions, and track closure of issues
- Conduct market abuse surveillance, reviewing alerts related to insider trading, window dressing, portfolio pumping, and other misconduct indicators
- Partner with data analytics teams to leverage automation and analytical tools to enhance testing coverage and insights, while monitoring regulatory developments and emerging risks
Requirements
- Bachelor's degree in accounting, finance or related business fields
- 6-8+ years of experience in Financial Services Industry, in an Investment Management firm’s compliance, auditing or risk function preferred, previous experience with regulatory agency a plus
- Broad knowledge of federal securities laws and regulations (SEC, FINRA, ERISA), including requirements under the Investment Advisers Act and Investment Company Act of 1940
- Working understanding of a wide range of security types, including equities, fixed income, and derivatives
- Familiarity with trading systems and related compliance components (e.g., Charles River)
- Strong verbal and written communication skills with proven negotiation and influence abilities
- Excellent interpersonal skills with the ability to work effectively across all levels and a strong results-oriented mindset
- Demonstrated ability to identify, analyze, and thoroughly investigate potential issues and determine appropriate actions
- Ability to learn quickly, apply strategic thinking, and understand the broader impact of issues and associated risks
- Self-starter with strong motivation and proficiency in Microsoft Office applications
Benefits
- Flexible paid time off
- Hybrid work schedule
- 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
- Health & wellbeing benefits
- Parental Leave benefits
- Employee stock purchase plan
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
risk-based compliance reviewscontrol designoperating effectivenessdetailed testingmarket abuse surveillancedata analyticsautomationregulatory requirementsfinancial analysisinvestigative skills
Soft Skills
communication skillsnegotiationinterpersonal skillsresults-oriented mindsetstrategic thinkingproblem-solvingcollaborationattention to detailself-starteradaptability