Manager, Business Compliance
Core
Provides regulatory compliance advice and direction to Wealth businesses, acting as the designated subject matter expert for 1st Line compliance and leading the Enterprise Compliance Program (ECP).
Role type
Manager, Business Compliance (1st Line)
Builds
Enterprise Compliance Program (ECP), 1st Line compliance programs, regulatory risk assessments, and conflict of interest logs.
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory interpretation, risk assessment, policy development, stakeholder management, change management, supplier compliance risk assessment, trade monitoring, conflict of interest management, training delivery
Preferred skills
Understanding of emerging regulatory requirements, data analysis for compliance insights, industry association engagement
Technologies
GRCE (Compliance book of record), Personal Trading Application (PTA)
Responsibilities
Interpret regulations and advise on application to business processes; lead and support implementation of the Enterprise Compliance Program; manage complex compliance programs and projects; execute compliance controls; maintain inventory of regulations and controls; conduct Regulatory Compliance Risk Assessments (RCRA); manage personal trade monitoring; maintain conflicts of interest logs; develop and deliver compliance training.
Seniority
Manager, hands-on IC with strategic oversight