What are the responsibilities and job description for the Compliance Manager position at TEKsystems?
We are currently hiring a Compliance Manager for one of the top Financial Service institutions in Denver!
*Description*
- Contribute to the market abuse and compliance risk assessment and development of tests/ controls/ risk-based monitoring to address risks.
- Engage with relevant stakeholders and partners, including Risk & Compliance, Internal Audit, Legal, and Investments to ensure there is appropriate understanding of the business and applicable risks and to ensure there is a collaborative approach to delivering reviews of business activities.
- Execute and when required, oversee the execution and timely delivery of thematic reviews and regular testing in the plan.
- Track and validate agreed upon management actions.
- Oversee the timely and thorough investigation process of trade and communication surveillance alerts, on request.
- Regularly communicate progress and timely escalation of material findings to the Global Head of Compliance Monitoring and Surveillance.
- Produce ongoing reporting and management information on progress and findings to stakeholders and relevant governance forums, on request.
- Carry out other duties as assigned.
*Qualifications*
MUST HAVES
- 8 years of Trade Surveillance, compliance, risk or internal audit related experience within an Asset Management Firm or other financial services institution.
- Understanding of applicable US regulations and the assessment of the varying levels of compliance risk
- Excellent interpersonal and stakeholder management skills
- Strong verbal and written communication skills
- In-depth understanding and application of regulatory agencies rules and regulations
- Advanced knowledge of the investment management industry, fund management businesses and associated operating policies.
- Excellent analytical skills and attention to detail
NICE TO HAVE
- Coding and data analysis skills
- Knowledge of global regulations
- Relevant Professional qualifications (e.g. compliance, audit, Investment management)
#prioritywest25
*Pay and Benefits*
The pay range for this position is $100000.00 - $120000.00/yr.
Hybrid working and reasonable accommodations
Generous Holiday policies
Paid volunteer time to step away from your desk and into the community
Support to grow through professional development courses, tuition/qualification reimbursement and more
All-inclusive approach to Diversity, Equity and Inclusion
Maternal/paternal leave benefits and family services
Complimentary subscription to Headspace - the mindfulness app
Corporate membership to ClassPass and other health and well-being benefits
Unique employee events and programs including a 14er challenge
Complimentary beverages, snacks and all employee Happy Hours
*Workplace Type*
This is a hybrid position in Denver,CO 80206.
*Application Deadline*
This position is anticipated to close on Mar 5, 2025.
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
*Description*
- Contribute to the market abuse and compliance risk assessment and development of tests/ controls/ risk-based monitoring to address risks.
- Engage with relevant stakeholders and partners, including Risk & Compliance, Internal Audit, Legal, and Investments to ensure there is appropriate understanding of the business and applicable risks and to ensure there is a collaborative approach to delivering reviews of business activities.
- Execute and when required, oversee the execution and timely delivery of thematic reviews and regular testing in the plan.
- Track and validate agreed upon management actions.
- Oversee the timely and thorough investigation process of trade and communication surveillance alerts, on request.
- Regularly communicate progress and timely escalation of material findings to the Global Head of Compliance Monitoring and Surveillance.
- Produce ongoing reporting and management information on progress and findings to stakeholders and relevant governance forums, on request.
- Carry out other duties as assigned.
*Qualifications*
MUST HAVES
- 8 years of Trade Surveillance, compliance, risk or internal audit related experience within an Asset Management Firm or other financial services institution.
- Understanding of applicable US regulations and the assessment of the varying levels of compliance risk
- Excellent interpersonal and stakeholder management skills
- Strong verbal and written communication skills
- In-depth understanding and application of regulatory agencies rules and regulations
- Advanced knowledge of the investment management industry, fund management businesses and associated operating policies.
- Excellent analytical skills and attention to detail
NICE TO HAVE
- Coding and data analysis skills
- Knowledge of global regulations
- Relevant Professional qualifications (e.g. compliance, audit, Investment management)
#prioritywest25
*Pay and Benefits*
The pay range for this position is $100000.00 - $120000.00/yr.
Hybrid working and reasonable accommodations
Generous Holiday policies
Paid volunteer time to step away from your desk and into the community
Support to grow through professional development courses, tuition/qualification reimbursement and more
All-inclusive approach to Diversity, Equity and Inclusion
Maternal/paternal leave benefits and family services
Complimentary subscription to Headspace - the mindfulness app
Corporate membership to ClassPass and other health and well-being benefits
Unique employee events and programs including a 14er challenge
Complimentary beverages, snacks and all employee Happy Hours
*Workplace Type*
This is a hybrid position in Denver,CO 80206.
*Application Deadline*
This position is anticipated to close on Mar 5, 2025.
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
Salary : $100,000 - $120,000
