Compliance Assistant managing sales data delivery to contracted vendors. Conducting data quality checks and maintaining vendor relationships at Hudson.
About the role
- Senior Director, Compliance leading registered investment advisor compliance program at SLC Management, a global asset management firm providing diversified solutions.
Responsibilities
- Support the Registered Investment Adviser Compliance Program functions
- Maintain establish standards and implement procedures to ensure that the Investment Advisor compliance program remains effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations
- Monitor and report on changing regulatory requirements, partner with business colleagues to implement best practices to ensure compliance with new regulations and test the operating effectiveness
- Support and coordinate efforts related to regulatory reviews, exams, inquiries, and audits
- Support and coordinate efforts related to regulatory filings
- Work with various teams and cross departments (including Sales, Distribution & Business Development, Client Relationships, Marketing, Finance, Operations, and Legal) to support investment management activities from a compliance perspective
- Communicate compliance issues and trends, prepare compliance reports to management
- Identify areas of potential compliance risk and vulnerability; manage and drive effective resolution, reporting updates to management
- Act as technical advisor and support business initiatives from a compliance perspective
- Manage and support investment advisor compliance process operations
Requirements
- Bachelor’s degree in Business, Finance, Economics, or related field; advanced degrees or certifications (CFA, IACCP, ACAMS) are highly valued
- Minimum 8 years of experience in asset management compliance, preferably in a global or matrixed organization
- Strong knowledge of regulatory frameworks (U.S. SEC: Investment Advisers Act of 1940, Investment Company Act of 1940; OSC) and industry best practices
- Excellent interpersonal, communication, change management, and influencing skills, and a team player mindset
- Demonstrate ability to make recommendations to management and influence business decisions based on thorough analysis
- Ability to translate strategic direction from leader into tactical plans; implements tactical plans; provides input to strategic plans; and champions the development of departmental goals and objectives
- Experience in the financial services industry with an understanding of operational management practices and objectives including accountabilities, approaches to problem solving, industry trends and best practice.
Benefits
- Excellent benefits and wellness programs to support the three pillars of your well-being – mental, physical and financial – including generous vacation and sick time
- Market-leading paid family, parental and adoption leave
- A partially-paid sabbatical program
- Medical plans
- Company paid life and AD&D insurance as well as disability programs
- Retirement and Stock Purchase programs to help build and enhance your future financial security including a 401(k) plan with an employer-paid match as well as an employer-funded retirement account
- A flexible work environment with a friendly, caring, collaborative and inclusive culture focused on career growth development
- The opportunity to move along a variety of career paths with amazing networking potential
- Award winning workplace culture - Great Place to Work® Certified in Canada and the U.S., “Best Places to Work in Money Management” by Pension & Investments, “Top 10” employer by the Boston Globe's “Top Places to Work” two years running
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