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Compliance Manager
Permanent
United States
Job Description
Baraud are working exclusively on an opportunity for a skilled Compliance Manager that sits within a growing compliance department within a reputable financial services firm. Reporting to the Head of Compliance, this person will be responsible for managing the day-to-day compliance function within the firm. The ideal candidate will be an experienced, proactive, reliable person who can really hit the ground running. Possessing a strong managerial ability alongside promoting teamwork is essential.
Our client seeks a Compliance Manager who has that inquisitive mind and will relish the responsibility of this role. If you are an experienced Compliance Manager seeking a new opportunity this could be the role for you.
Responsibilities:
- Oversee the organization’s compliance function ensuring the continuation of high ethical and professional standards, consistent with industry laws, regulations, and standards.
- Manage all compliance matters relating to the acceptance of new business ensuring all relevant due diligence documentation is received, processed, and risk assessment determined.
- Maintain and review client database ensuring a high standard of data integrity.
- Keep abreast of industry updates and changes to relevant laws and regulations.
- Recommend amendments to internal policies and procedures in line with such changes.
- Ensure appropriate training & development for all staff while also prioritizing self-development.
- Understanding of the risk assessment process, ability to provide input and give guidance.
- Maintain a strong understanding of Cayman regulatory requirements.
- In this role you will have a broad exposure to compliance issues as opposed to being pigeon holed into one area.
Required:
- Undergraduate degree in legal, compliance or business.
- Ideally 5+ years’ experience in a compliance management role.
- A compliance or accounting qualification is preferred but not essential.
- Regulatory Audit and CIMA Audit experience is an asset.
- Experience working with software such as ViewPoint is desired.
- A strong understanding of corporate funds and trust products is an asset.
- A self-starter with a strong worth ethic who can use their initiative & work independently.
- A responsible and reliable person who can effectively manage and lead a team.
In return our client can truly offer you a good work life balance within a great culture and team dynamic. If you’re seeking an opportunity to join a firm in which you will give guidance to the Board on compliance and genuinely be listened to, then this role is for you.
How to Apply:
Please contact Fiona Hill at Baraud Recruitment if you would like to discuss this opportunity further. Please apply through LinkedIn or send your application directly to fiona@baraud.com