Compliance Advisor for Global Sanctions supporting Fidelity’s enterprise Global Sanctions program. Responsibilities include alert management, investigations, and technology support.
About the role
- Director leading Global Compliance Testing for Manulife's regulatory control function in financial services. Overseeing compliance testing programs aligned with SEC regulations and fostering a culture of compliance.
Responsibilities
- Lead and manage an effective team of highly skilled compliance professionals
- Design and implement risk-based compliance test plans for RIAs and RICs, focusing on Private Markets activities
- Ensure compliance programs align with SEC regulations, particularly 206(4)-7 and 38a-1
- Prepare detailed reports on compliance testing results and present findings to senior management
- Collaborate with internal and external stakeholders, including Segment and Entity Chief Compliance Officers, portfolio managers, legal, operations, internal and external auditors, and Global Compliance
- Foster a culture of compliance and ethical behavior across the organization
Requirements
- 10 years of experience in financial services
- 5 years in compliance testing, related compliance function, audit services, or risk management
- Experience at an institutional asset manager is strongly preferred
- Exceptional leadership and communication skills
- Experience in managing and developing high-performing teams
- Bachelor’s degree in Finance, Law, Accounting, Economics, Business Administration, or related field; advanced degree or relevant certifications (e.g., JD, CPA, CFA, CIA, CFE, IACCP) are a plus
- Understanding of global regulatory requirements, deep understanding of SEC regulations 206(4)-7 and 38a-1
- Familiarity with alternative investments: private equity, private credit, infrastructures, timber and agriculture
Benefits
- Health insurance
- Dental insurance
- Mental health support
- Vision insurance
- Short- and long-term disability insurance
- Life and AD&D insurance coverage
- Adoption/surrogacy benefits
- Wellness benefits
- Employee/family assistance plans
- Retirement savings plans (including pension/401(k) savings plans)
- Global share ownership plan with employer matching contributions
- Financial education and counseling resources
- Up to 11 paid holidays
- 3 personal days
- 150 hours of vacation
- 40 hours of sick time
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