200+ applicants

Company

Penn Mutual · 17 hours ago

Compliance Director - Asset Management

United States

Full-time

Remote

Lead/Staff, Director/Executive

$125K/yr - $160K/yr

7+ years exp

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Responsibilities

Assist the ACCO in the administration of the Ethics & Compliance program

Provide effective leadership, mentorship, and coaching to direct reports

Understand all components of Ethics & Compliance program framework

Manage monitoring and testing, including the maintenance of the risk assessment

Coordinate regulatory examination/inquiries

Create Board Reporting materials

Create education materials

Ensure the compliance program is operating as intended and is compliant with applicable regulatory requirements

Draft and maintain compliance policies and procedures

Enhance and maintain risk assessments including evaluating inherent risk and exposure as well as applicable control environment or control augmentations needed

Oversee control testing performed for critical areas and processes as part of the annual compliance review for PMAM and PSF

Oversee periodic testing and monitoring of third-party partners or service providers

Proactively monitor, analyze, report on and lead implementation of regulatory changes necessary to maintain compliance; advises stakeholders of emerging risks, agency guidance and recommendations to address same and mitigate attendant risks

Report to the ACCO on key components of the program’s activities and effectiveness, including risks, incidents, and initiatives related to the compliance program

Create and deliver compliance training and education to maintain proficiency with applicable laws and regulations

Maintain strong relationships with business partners such as Operations, Information Management & Technology, Legal, Internal Audit, Human Resources, among others

Provide management and coaching to team members

Create regulatory exam and internal audit responses

Assist with projects as needed

Performs other duties as assigned

Qualification

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Regulatory knowledgeCompliance trainingRisk assessmentRegulatory examination handlingCompliance policy draftingRelationship managementProject managementOrganizational skillsAnalytical skillsTeam leadershipFINRA licensesProfessional designationsVerbal communicationProblem solvingAdvanced degreeWritten communication

Required

Minimum of 7 years related work experience in institutional asset management industry

Minimum of 5 years of related work experience in Compliance leadership role

Relationship management and problem solving skills

Strong knowledge of regulatory environment, including examination/inquiry handling

Strong verbal and written communication skills

Ability to work effectively independently and in a collaborative, team-oriented, and fast-paced remote environment

Project management

Exceptional organizational and prioritization skills with demonstrated ability to manage competing priorities and complete tasks within or prior to deadline

Excellent analytical and problem-solving skills, including the ability to disaggregate issues, identify root causes, and recommend solutions