Compliance Lead - 12m FTC
Core
Lead compliance monitoring and regulatory change initiatives for a UK-based investment management firm, supporting global teams.
Role type
Senior IC compliance lead (investment management)
Builds
Compliance monitoring plans, regulatory change logs, and remediation strategies for European and Global investment management.
Domain
Financial services / Investment management / Regulatory compliance
Required skills
Compliance monitoring, regulatory change analysis, financial services knowledge, stakeholder collaboration, report preparation, corrective action planning, risk assessment, presentation skills, independent work, process automation
Preferred skills
Second language proficiency, AI tool utilization, complex topic explanation
Technologies
AI tools
Responsibilities
Develop and implement compliance monitoring plans; conduct ongoing and thematic compliance monitoring; prepare compliance reports and corrective action plans; research and assess new regulations; collaborate with Legal and Risk teams; present to senior management and committees; support local teams in Luxembourg and Switzerland.
Seniority
Senior, hands-on IC