Senior Compliance Specialist

Responsibilities Enhance and strengthen compliance programs, processes, and control frameworks, including identifying and implementing automation opportunities Lead the execution of compliance testing, monitoring, and training programs Monitor adherence to regulatory and internal compliance obligations, including portfolio and transactional compliance Serve as a subject matter expert in document retention policies and procedures, information barriers, and portfolio and transactional compliance Partner with internal stakeholders to collect, maintain, and safeguard key documentation and records Identify risks, evaluate control effectiveness, and recommend enhancements to management and compliance committees Develop and maintain a deep understanding of business functions, operational processes, and supporting technology systems Prepare and deliver clear, accurate, and timely reports and presentations to senior stakeholders Collaborate across business units to support compliance initiatives and operational improvements Stay current on regulatory developments and industry best practices through ongoing training and professional engagement Be responsible for preparing and analyzing reporting to external regulatory agencies (TIC, SEC, BEA, CFTC etc.) Requirements Bachelor’s degree in accounting, finance, economics, or a related field Strong understanding of financial markets, investment operations, and applicable regulatory requirements Demonstrated ability to work independently, exercise sound judgment, and appropriately elevate issues Strong communication, organizational, and project management skills Ability to analyze complex business processes and associated technology controls Minimum of 10+ years of experience in financial services compliance, operations, or a related function (e.g. public accounting investment management, banking, capital markets) Proven experience with compliance frameworks, internal controls, and operational risk management practices Advanced degree (e.g., MBA, JD, MPA) preferred Relevant professional certifications such as CPA (Certified Public Accountant), CFA (Chartered Financial Analyst), CRCM (Certified Regulatory Compliance Manager), FRM (Financial Risk Manager) #J-18808-Ljbffr