Compliance Manager, Investment Advisory Compliance

Chartwell Investment Partners

Hybrid
Securities and banking industry knowledge
Sec and finra regulations
Compliance exception reporting
Oversees compliance exception reporting processes and collaborates surrounding corrective actions

Job Summary

  • Oversees compliance exception reporting processes and collaborates surrounding corrective actions.
  • Coaches, trains, and mentors less experienced Compliance associates and may assist with training programs.
  • Informs Senior Compliance Management about issues that may involve rule violations or potential liability.

Matching Summary

Oversees compliance exception reporting processes and collaborates surrounding corrective actions.

Skills & Requirements

Must-have

  • Securities and banking industry knowledge
  • SEC and FINRA regulations
  • Compliance exception reporting
  • Develop compliance policies and procedures
  • Risk mitigation in compliance activities

Nice-to-have

  • Partner with other functional areas
  • Continuous evolution of the firm
  • Client-first, integrity, independence
  • People-first culture

Key Requirements

  • Minimum six years of experience in Compliance/financial services
  • Bachelor's degree or equivalent experience
  • Series 7 and 65 or 66 preferred
  • Additional industry certifications preferred

Work Rights

Not specified

Tailored Resume

Cover Letter