About the Organization: A global equity manager with a strong emphasis on research and technology, managing billions in assets across various public equity strategies. The firm has a reputation for innovation in equity management and a commitment to exceeding client expectations. The work environment fosters teamwork and values work-life balance, offering a competitive compensation package and opportunities for long-term career growth.
Position Overview: The Director, Compliance & Risk will be a senior leader within the compliance team, working closely with the Chief Compliance Officer and other managers to ensure adherence to regulatory requirements and internal policies. This role involves evaluating and improving the compliance and operational risk program, promoting ethical conduct, and developing policies to prevent regulatory violations.
Key Responsibilities:
- Monitor and ensure compliance with global financial regulations.
- Identify and mitigate compliance and operational risks.
- Develop and implement compliance policies and procedures.
- Conduct testing and assessments to manage risks.
- Provide compliance guidance to internal teams.
- Prepare and submit regulatory filings.
- Investigate compliance breaches and implement corrective actions.
- Engage with clients and participate in internal committees.
Skills and Knowledge Required:
- 12+ years of experience in compliance or regulatory roles within financial services.
- Bachelor's degree in finance, law, business, or a related field.
- Strong understanding of relevant regulations and industry standards.
- Excellent analytical, writing, and communication skills.
- Proven leadership and decision-making abilities.
