Senior Compliance Manager
VirtualVocations
To enhance the firm's compliance framework, the full-time Senior Compliance Manager will design and implement a high-risk client monitoring system, oversee internal employee risk assessments, and manage heightened supervision plans, all while working remotely. Key responsibilities Implement and maintain a high-risk client identification and evaluation framework Monitor internal employee and advisor activities for elevated compliance risk Design and manage heightened supervision plans, ensuring adherence and documentation Required qualifications Bachelor's degree required 5+ years of experience in compliance or risk management Strong knowledge of investment adviser regulations and AML requirements Proficiency in Microsoft Office applications (Excel, Word, Outlook, PowerPoint) CAMS or equivalent AML certification preferred
Vacancy posted 7 days ago
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