Senior Compliance Manager

Job Summary

To enhance the firm's compliance framework, the full-time Senior Compliance Manager will design and implement a high-risk client monitoring system, oversee internal employee risk assessments, and manage heightened supervision plans, all while working remotely.

Key responsibilities

• Implement and maintain a high-risk client identification and evaluation framework
• Monitor internal employee and advisor activities for elevated compliance risk
• Design and manage heightened supervision plans, ensuring adherence and documentation

Required qualifications

• Bachelor's degree required
• 5+ years of experience in compliance or risk management
• Strong knowledge of investment adviser regulations and AML requirements
• Proficiency in Microsoft Office applications (Excel, Word, Outlook, PowerPoint)
• CAMS or equivalent AML certification preferred