Compliance Manager

Posted 06/08/2022 By Stephanie Callis

Compliance Manager of Ethics leads a team that works across the global investment firm to address potential conflicts of interest arising from employees' personal investing, outside business, political contribution and participation, entertainment and gifting, and other conduct-related activities.

In this role you will guide the team as they maintain Code of Ethics, including rules for Employee Investing, outside business activities, political contributions, entertainment and gifting and other conduct-related activities and monitor for compliance with those rules.

You will serve as a trusted advisor to business partners across firm in addressing issues that arise under our ethics and conduct policies and associated Rules. The Ethics organization works closely with Risk and Legal partners and with all other business units to protect brand and reputation by ensure ongoing compliance with our policies and applicable law. We focus on those policies that relate to employees' personal conduct, including personal investing, outside business activities, personal conflicts of interest and other conduct-related matters. We also provide training to employees.

We are passionate about the employee experience and committed to providing sound and consistent guidance that effectively mitigates risks

  • Ten+ years broad compliance and/or legal experience in the financial services industry.
  • Demonstrated success working collaboratively across various teams, including Legal, Operations, Risk, and Audit.
  • Advise associates and managers across the firm on Code of Ethics, personal trading, and inside information issues.
  • Closely monitor for and champion technology improvements to facilitate employee engagement with the Ethics Office and to improve the Ethics Office's ability to efficiently monitor employee trading.
  • Quickly spot potential regulatory issues, synthesize information, and collaborate to make decisions.
  • Set strategic goals for the team and play a key role in guiding their performance and career development.
  • Encourage a culture of diversity, inclusion, ownership, and empowerment.
  • At least 7-10 years of related experience (with at least 5years of investment adviser code of ethics / personal security transaction monitoring compliance experience).
  • Strong knowledge of SEC code of ethics / personal security transaction related regulations.
  • Ability to modify Compliance Program to changes in regulatory or corporate requirements.
  • Prior experience in oversight of written policies and procedures.
  • A proactive, self-starter work style and able to interact with people with varied personalities and work styles.
  • Candidate must have excellent written, oral and presentation skills.
  • Candidate must have strong PC skills (Office) and ability to interface effectively on systems issues.
  • Hybrid Model Work Schedule.
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