Governance Risk & Compliance Manager implementing risk management strategies at Sword. Overseeing compliance and security governance practices within the organisation.
About the role
- Overseeing compliance inspections for an investment management company. Supporting the development and maintenance of compliance processes and providing guidance on regulatory implications.
Responsibilities
- Oversees compliance inspections and supports the development, implementation, and maintenance of compliance processes.
- Conducts routine and targeted compliance monitoring and testing across financial services operations.
- Leads investigations of potential violations of ethical standards and noncompliance with applicable laws, regulations, and internal policies.
- Communicates findings to business partners and senior compliance leadership.
- Provides compliance guidance and advisory support to business units.
- Oversees the design, implementation, and maintenance of compliance policies and procedures.
Requirements
- Minimum 5 years of compliance experience in financial services, with at least 2 years in broker-dealer or banking-like operations.
- Proven experience in Regulation E, Regulation CC, NACHA rules, and FINRA oversight.
- An active CRCM is highly desirable.
- Strong analytical, writing, and stakeholder engagement skills.
- Experience designing and executing compliance testing frameworks.
Benefits
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Professional development opportunities
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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