• Competitive
  • Philadelphia, PA, USA
  • Permanent, Full time
  • Selby Jennings Buyside
  • 08 Nov 17

Senior Compliance Manager, Global Asset Management Firm, Philadelphia, PA

  • Location: Philadelphia, PA, USA
  • Salary: Competitive
  • Job Type: Full time

My client is a global financial institution seeking a Senior Compliance Manager for their asset and investment management division located in the Philadelphia area.

This firm has a global presence and has continued to rapidly grow by serving its institutional and individual clients in an accountable and active manner. This role serves as a key figure in the firm’s compliance team working under the Deputy CCO and having a handful of direct reports as well. The compliance team has responsibility for the advisory and distribution activities for the firm, and also is responsible for the annual reviews and testing of the firm’s policies.

This role will be involved with adviser oversight, advertising and market review, investment guidelines, and the company code of ethics. You will lead a team of compliance analysts and assist in the development of the global asset management compliance platform. Evaluating performance and facilitating training of staff and direct reports will require previous management experience. This role will represent the compliance function across the firm and coordinate projects with assigned staff.

Requirements:
  • 5-10 years of experience in an investment advisory or broker-dealer compliance function
  • Management experience or experience leading regulatory functions (marketing and advisory compliance)
  • Experience with staff development and performance evaluation
  • Strong communication skills and the ability to work independently and as a teammate
  • Bachelors degree
  • FINRA Series 7, 24 or ability to acquire