Senior Compliance Manager

Compliance Manager

Reporting to the AVP, Chief Compliance Officer, the Compliance Manager is a member of the Global Wealth and Asset Management (GWAM) U.S. Retail & Wealth Compliance Team. The role supports compliance oversight and advisory activities across U.S. Retail & Wealth businesses, products, distribution channels, legal entities, and strategic initiatives.

The Senior Compliance Manager partners closely with business stakeholders and control functions to provide practical compliance guidance, identify and mitigate regulatory risks, and support adherence to applicable laws, regulations, and internal policies. The role contributes to the administration and execution of the compliance program and helps foster a strong culture of compliance throughout the organization.

This position operates in a dynamic environment where business priorities, regulatory requirements, and organizational needs will evolve over time. As a result, specific areas of responsibility may change based on business needs, departmental priorities, and regulatory developments.

Position Responsibilities:

Compliance Advisory and Business Support

• Provide compliance guidance and support to assigned business units, legal entities, products, services, or strategic initiatives.
• Partner with business stakeholders to identify regulatory risks and develop practical, risk-based solutions.
• Support new product, process, technology, and business initiatives by identifying and addressing applicable compliance requirements.
• Serve as a compliance resource on a variety of matters, including customer complaints, issue management, due diligence activities, trade errors, supervisory matters, and other regulatory concerns, as applicable.

Compliance Program Administration

• Support the administration and enhancement of the compliance program, policies, procedures, and controls designed to meet applicable regulatory requirements and internal standards.
• Assist with the execution of compliance monitoring, testing, and risk assessment activities.
• Monitor regulatory and industry developments and assist in evaluating their impact on business operations, policies, and procedures.
• Support compliance program activities such as employee training, certifications, disclosures, and related compliance obligations, as assigned.

Regulatory and Governance Support

• Assist with the preparation of compliance reporting and management information for governance committees, senior management, and other stakeholders.
• Support regulatory examinations, audits, inquiries, and internal reviews, including coordinating responses and tracking remediation activities.
• Assist in maintaining documentation necessary to demonstrate compliance with applicable regulatory requirements.

Compliance Reviews and Cross-Functional Support

• Partner with Legal, Risk Management, Audit, Operations, Technology, Marketing, Product, and other business functions to support compliance objectives.
• Participate in enterprise, segment, or departmental compliance initiatives and projects as assigned.

Required Qualifications:

• 5-8 years of experience in compliance, legal, audit, risk management, or related functions within the financial services industry.
• Knowledge of regulatory requirements applicable to financial services organizations, including investment advisory, broker-dealer, insurance, retirement, or related businesses.
• Ability to interpret regulatory requirements and apply them to business activities in a practical and risk-based manner.
• Strong analytical, organizational, and problem-solving skills.
• Ability to manage multiple priorities in a fast-paced and evolving environment.
• Excellent verbal and written communication skills.
• Strong interpersonal skills and the ability to build effective partnerships across business and control functions.

Preferred Qualifications:

• Experience supporting registered investment advisers, broker-dealers, wealth management, retirement, insurance, or digital financial services businesses.
• Familiarity with the Investment Advisers Act of 1940 and related state and federal regulatory requirements.
• Experience supporting product development, technology initiatives, or Agile project environments.
• Knowledge of ERISA, retirement plans, privacy, anti-money laundering, or related regulatory frameworks.

When you join our team:

• We'll empower you to learn and grow the career you want.
• We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
• As part of our global team, we'll support you in shaping the future you want to see.