Be Part Of A High-Performing Team:

Join a global financial services institution known for its strong regulatory culture and commitment to risk management excellence. This organization operates across major global markets and maintains a reputation for disciplined governance, regulatory transparency, and operational integrity. The Compliance Department Americas Division plays a critical role in ensuring regulatory alignment across investment and asset management activities. The team collaborates closely with corporate compliance, risk, and investment management stakeholders to strengthen regulatory controls, build sustainable compliance frameworks, and maintain exam-ready documentation for regulators such as the SEC. Professionals on this team work in a structured yet fast-paced environment where regulatory insight, analytical thinking, and cross-functional collaboration are highly valued.

What's In Store For You:

Engagement: W2 only (no C2C/1099)

• Opportunity to work within a highly regulated global financial institution supporting regulatory and compliance initiatives
• Exposure to SEC Registered Investment Adviser regulatory frameworks and asset management compliance programs
• Opportunity to contribute to enterprise risk and compliance initiatives with visibility across corporate compliance and risk teams
• Potential for engagement extension beyond the initial project timeline depending on business needs

How You Will Make An Impact:

• Translate control assessments and compliance taxonomy into a comprehensive risk and control inventory specific to asset management operations
• Design and implement compliance monitoring and testing plans aligned with SEC regulatory requirements
• Identify and document regulatory control gaps across Corporate Compliance and Risk functions
• Support the development of exam-ready regulatory documentation for internal and external regulatory reviews
• Conduct risk assessments and control evaluations tied to the SEC Registered Investment Adviser compliance framework
• Partner with compliance, risk, and business teams to strengthen the governance and regulatory oversight structure for investment management activities

Are you an experienced SEC investment management compliance professional ready to make an impact?

• 10+ years of experience in regulatory compliance, risk management, or control frameworks within financial services
• Direct experience supporting SEC regulatory compliance within the investment management or asset management industry
• Hands-on experience working with SEC Registered Investment Adviser compliance frameworks
• Experience building or managing risk and control inventories, monitoring programs, or testing frameworks
• Proven ability to perform compliance risk assessments and document regulatory controls
• Experience preparing documentation for regulatory examinations and internal compliance reviews
• Strong understanding of regulatory governance, control design, and regulatory reporting processes
• Ability to collaborate with compliance, risk, and business stakeholders across complex organizations
• Strong analytical, documentation, and communication skills