Senior Manager Compliance and Certification coordinating external audits and compliance at D - Trust GmbH in Berlin. Ensuring regulatory adherence and leading audit preparation and execution.
About the role
- Director leading Global Compliance Testing for Manulife's regulatory control function in financial services. Overseeing compliance testing programs aligned with SEC regulations and fostering a culture of compliance.
Responsibilities
- Lead and manage an effective team of highly skilled compliance professionals
- Design and implement risk-based compliance test plans for RIAs and RICs, focusing on Private Markets activities
- Ensure compliance programs align with SEC regulations, particularly 206(4)-7 and 38a-1
- Prepare detailed reports on compliance testing results and present findings to senior management
- Collaborate with internal and external stakeholders, including Segment and Entity Chief Compliance Officers, portfolio managers, legal, operations, internal and external auditors, and Global Compliance
- Foster a culture of compliance and ethical behavior across the organization
Requirements
- 10 years of experience in financial services
- 5 years in compliance testing, related compliance function, audit services, or risk management
- Experience at an institutional asset manager is strongly preferred
- Exceptional leadership and communication skills
- Experience in managing and developing high-performing teams
- Bachelor’s degree in Finance, Law, Accounting, Economics, Business Administration, or related field; advanced degree or relevant certifications (e.g., JD, CPA, CFA, CIA, CFE, IACCP) are a plus
- Understanding of global regulatory requirements, deep understanding of SEC regulations 206(4)-7 and 38a-1
- Familiarity with alternative investments: private equity, private credit, infrastructures, timber and agriculture
Benefits
- Health insurance
- Dental insurance
- Mental health support
- Vision insurance
- Short- and long-term disability insurance
- Life and AD&D insurance coverage
- Adoption/surrogacy benefits
- Wellness benefits
- Employee/family assistance plans
- Retirement savings plans (including pension/401(k) savings plans)
- Global share ownership plan with employer matching contributions
- Financial education and counseling resources
- Up to 11 paid holidays
- 3 personal days
- 150 hours of vacation
- 40 hours of sick time
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Manager overseeing compliance in claims operations for L.A. Care Health Plan. Ensuring adherence to regulatory requirements and effective training development.
Senior Manager overseeing clinical case operations at L.A. Care Health Plan, ensuring compliance and quality in health services management. Leading a team and collaborating across departments for effective case handling.
Werkstudent Compliance supporting compliance management system development and conducting risk analyses. Collaborating in team tasks and organizing compliance training sessions.
Regulatory Affairs Specialist overseeing regulatory submissions in SEA for global medical device company. Ensuring compliance and managing stakeholder communications for product regulations.
Senior Associate supporting compliance solutions for institutional clients in asset management. Delivering regulatory compliance and risk management expertise within a hybrid work environment.
Compliance Analyst supporting the management of compliance models and processes at Tenpo. Contributing to building a solid compliance culture focusing on crime prevention and data protection.
Advertising Compliance Specialist ensuring compliance and operational excellence in the insurance sector. Collaborating on regulatory changes and supporting product development in a hybrid role.
Intern coordinating regulatory projects and compliance for Eversource Energy, engaging with legal, regulatory, and business teams. Involves monitoring regulatory changes and ensuring compliance across your duties.
Regulatory Policy Specialist developing regulatory case filings and strategies supporting company goals at Xcel Energy. Collaborating with stakeholders and senior management to ensure compliance and effective communication.