Markets Mojo - Senior Manager - Compliance - PMS (10-12 yrs)

Key Responsibilities:

Regulatory Compliance:

- Monitor and interpret relevant financial regulations, laws, and guidelines that impact portfolio management and investment advisory activities. Ensure that the firm's activities comply with these requirements.

- Stay up to date with relevant laws, regulations, and guidelines pertaining to the PMS industry, financial markets, risk management, and regulatory affairs.

- Develop and implement strategies to ensure compliance with applicable regulations and guidelines.

- Collaborate with legal and regulatory teams to respond to regulatory inquiries and conduct regulatory reporting as required.

Policy Development:

- Develop, implement, and maintain compliance policies and procedures specific to portfolio management, registered investment advising, and investment advisory services.

- Collaborate with legal and risk management teams to align compliance objectives.

Compliance Programs:

- Design, implement, and maintain effective compliance programs for PMS, RI, and RA activities.

- Conduct regular compliance risk assessments to identify areas of potential vulnerability and recommend appropriate measures to mitigate risks.

- Develop and deliver compliance training programs to educate employees about regulatory compliance, risk management, and internal policies.

Investment Adviser Registration:

- Oversee the registration process and ongoing compliance obligations of the firm as a Registered Investment Adviser (RIA) with relevant regulatory bodies.

Risk Assessment and Management:

- Identify, assess, and mitigate potential compliance and regulatory risks associated with portfolio management, investment advising, and RIA activities.

- Develop risk management strategies and controls.

Regulatory Filings and Reporting:

- Ensure accurate and timely submission of required regulatory filings and reports related to investment advisory activities and RIA compliance.

Portfolio Management Compliance:

- Ensure that portfolio management processes and strategies adhere to compliance requirements and industry best practices.

- Monitor portfolio activities for any potential violations.

Client Relationships:

- Collaborate with client-facing teams to ensure compliance with client agreements, disclosure documents, and investment guidelines.

Internal Audits:

- Coordinate and support internal and external audits related to portfolio management, investment advisory services, and RIA compliance.

Training and Education:

- Develop and deliver training programs to enhance compliance awareness and understanding among portfolio managers, investment advisers, and relevant staff.

Vendor and Third-Party Oversight:

- Evaluate compliance practices of external vendors, service providers, and third-party partners involved in portfolio management and investment advisory activities.

Regulatory Intelligence:

- Stay informed about evolving regulatory developments, industry trends, and best practices related to portfolio management, investment advising, and RIA compliance.

Collaboration:

- Work closely with legal, risk management, operations, investment, and client services teams to ensure a coordinated approach to compliance and client service.

Qualifications and Skills:

- Bachelor's degree in finance, business, law, or a related field. Advanced degree (e.g., MBA, JD) or relevant professional certifications (e.g., CFA, CCO) are often preferred.

- Extensive experience (typically 10+ years) in compliance roles within the financial services industry, with a strong focus on portfolio management, investment advisory, and RIA compliance.

- Comprehensive knowledge of relevant financial regulations, industry standards, and investment advisory rules.

- Strong analytical, problem-solving, and strategic thinking skills.

- Excellent communication, leadership, and team management abilities.

- Detail-oriented with a proactive approach to identifying and addressing compliance issues.

- Proficiency in compliance software, tools, and systems.

- Ability to navigate complex regulatory landscapes and provide strategic compliance guidance.