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Compliance Manager Jobs

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Equities Alpha Research - ++upside/recognition for contribution
  • Job type: Permanent
  • Location: New York
  • Salary: US$150000 - US$500000 per year
  • Description A client of ours is looking for an equity quantitative researcher to join their dynamic team working for a systematic trading fund whom specialize in data driven equity portfolios.
Investment Banking Healthcare VP
  • Job type: Permanent
  • Location: Charlotte, North Carolina
  • Salary: US$150000 - US$250000 per annum
  • Description Title: Investment Banking Vice President - M&A, Healthcare Location: Charlotte, NC Our client is an Top Middle Market Investment Bank, currently looking to add a investment banking Vice President
Investment Banking M&A Director, Specialized in Media/Broadcast
  • Job type: Permanent
  • Location: Charlotte, North Carolina
  • Salary: Negotiable
  • Description Title: Investment Banking M&A Director - TMT Location: Charlotte, NC Our client is a Top Middle Market Investment Bank, currently looking to add an investment banking Director to their M&A
Risk Manager
  • Job type: Permanent
  • Location: Hamburg
  • Salary: Negotiable
  • Description Einer der führenden und renommiersten Unternehmen im Ecommerce - Retail Geschäft suchen aktuell nach dem richtigen Riskmanager für Ihr Team in Hamburg, Deutschland.
Research Scientist
  • Job type: Permanent
  • Location: New York
  • Salary: US$13000 - US$350000 per year
  • Description My client is a boutique, fully systematic hedge fund located 1 hour outside of New York City. They rely on fully quantitative models developed by the research team to find an edge in the markets.
Manager/Deputy Manager
  • Job type: Permanent
  • Location: Hong Kong
  • Salary: Competitive
  • Description A top asset management company in Hong Kong, is looking for a Deputy Manager to join their Balance Sheet and Liquidity Management team.
M&A Manager/Senior Manager
  • Job type: Permanent
  • Location: Hong Kong
  • Salary: Negotiable
  • Description A Hong Kong based financial advisory group is looking for a Manager or Senior Manager to join their M&A team. The company provides corporate finance advisory services in IPOs
Quantitative Trader
  • Job type: Permanent
  • Location: San Francisco, California
  • Salary: US$100000 - US$150000 per year
  • Description Quantitative Trader | Senior Trader | San Francisco A Quantitative hedge fund located in the San Francisco Bay Area is looking to expand its quantitative investment strategies team
Quantitative Analyst, Front Office Quant
  • Job type: Permanent
  • Location: New York
  • Salary: Negotiable
  • Description After a successful year, one of the world's largest investment banks is expanding across all global offices, specifically New York, as they outperformed their 2018 benchmarks

The primary responsibility of a Compliance Manager is to ensure that all strategies and guidelines of an organization comply with standard principles, legislation and regulations, whether these are from external sources such as government or from the corporate management of the company itself. A compliance manager performs audits to help protect the organization from potential penalties, as well as from other problems arising from a lack of adherence to regulations. 

It is the duty of a Compliance Manager to ensure that an organization is meeting all rules and regulations including employment legislation, health and safety, diversity, intellectual property rights and consumer and data protection.
Any non-compliance issue could potentially result in severe financial penalties if not addressed and will almost certainly lead to a negative impact on clients or investors through a loss in confidence in the organization and its management.

Employment Outlook and Salary 
Compliance specialists play a fundamental role in an increasingly wide variety of organizations, particularly in sectors such as Pharmaceutical, Healthcare and the Chemical industry. The compliance industry as a whole is experiencing a boom with estimates of 31% growth in the period between 2008 and 2018.
In the United States, the average salary of a compliance manager is $74,458 per year with a range between $44,847 - $120,984, depending on education and relevant working experience. UK salaries range from £25,923 - £64,849 with average salaries coming in at around £35,959 per annum.

Job Description
The main functions of a compliance manager include ensuring that all rules and legislation are adhered to in line with regulatory and ethical standards. Compliance managers typically act as a central point of contact, communicating with management and employees regarding various compliance issues, as well as reporting to different government authorities. 
It is the responsibility of compliance managers to identify compliance problems through conducting internal investigations within the organization itself as well as facilitating frequent training on compliance rules and updates to legislation. 

While the specific job role varies from company to company, typical tasks may include facilitating audits, identifying problems, making reports, communicating with legal teams, and administering compliance systems and strategies. 

Key job activities include:

  • Facilitate regular internal reviews or audits to confirm that all compliance processes are adhered to
  • Conduct internal investigations of ongoing compliance issues
  • Evaluate product, compliance or operative risks and prepare strategies for risk mitigation
  • Identify any compliance problems which require regular follow up
  • Act as liaison between employees and senior management
  • Maintain documentation of all compliance activities
  • Notify legal compliance issues to legal teams
  • Raise awareness among employees on topics related to compliance
  • Provide assistance to internal or external auditors conducting compliance reviews
  • Prepare reports regarding compliance operations and progress

Key Skills & Qualifications 
Compliance managers must possess strong analytical skills allowing them to understand complex problems. Likewise, they must have excellent written and verbal communication skills as accurate reporting is a key component of the job role.

A bachelor’s degree is a must, preferably in subjects such as finance, accounting, business, and law. Candidates are also required to have at least 5 to 7 years of work related experience and relevant certificates of training.