Compliance Lead - 12m FTC
Core
Execute compliance monitoring plans and support regulatory change initiatives for a UK-based investment management firm.
Role type
Senior Compliance Lead (Investment Management)
Builds
Compliance monitoring reports, corrective action plans, and regulatory change assessments for Capital Group.
Domain
Financial Services / Investment Management / Regulatory Compliance
Required skills
Compliance monitoring, Regulatory analysis, Financial services knowledge, Stakeholder collaboration, Report preparation, Remediation planning
Preferred skills
AI tool utilization, Multilingual communication, Strategic thinking
Technologies
AI tools
Responsibilities
Develop and implement compliance monitoring plans, Conduct ongoing and thematic compliance monitoring, Prepare compliance monitoring reports and corrective action plans, Research and assess new regulations for impact, Collaborate with Legal and Risk teams on compliance initiatives, Present regulatory change updates to committees.
Seniority
Senior, 10+ years experience