Acuity Knowledge Partners - Senior Compliance Generalist - Operations

About the job:

Role Overview:

The Corporate and Forensic Compliance vertical is part of the wider Compliance team within Acuity Knowledge Partners focused on providing email surveillance, voice reviews, marketing material reviews and pitch book review, code of ethics, forensic investigation, and social media monitoring related support to the firm's clients.

Core function of the team includes reviewing correspondence, documents, and social media-feed, gathering data, performing analyses, documenting results, and escalating to line compliance coverage.

The role will require stakeholder management and ability to multi-task.

Job Responsibilities:

- The role is a managerial role which is responsible for supporting clients in a range of compliance operations including communication surveillance, collateral review, reporting, and client on-boarding.

- The team combines regulatory knowledge with operations skills to support client in a range high volume compliance tasks.

- The candidate is expected to manage client teams across multiple disciplines independently and function as the second-tier leadership to the Head of the CFC vertical.

- Should be able to manage and run the account on a routine basis, and handle client relationships to ensure smooth delivery.

- Accountable for client teams and team members to deliver high quality output to the client on a daily basis.

- Responsible for MIS and all the periodic dashboards for the client

- Train and induct new members to the team; responsible for planning the trainings and executing them according to plan.

- Play a significant role in hiring by actively participating in interviews.

- Approval point for handling leave management for the team members, sharing new updates with team members, giving timely feedback, maintaining client confidentiality within the team.

- Completely responsible for the client engagements under their purview, which includes but not limited to communication surveillance, collateral review, reporting, and client on-boarding, etc.

- Review and sign off on teams' daily deliverables.

- Keep a track of daily/weekly/biweekly/monthly and quarterly targets/deliverables for the client and work with the team on timely delivery.

- Communicate extensively over the phone to onshore partner to escalate/resolve issues.

- Lead all the weekly/biweekly and monthly process/update calls with the client and make sure that the team stays on top of updates.

- Continue to innovate and provide effective client solutions.

- Build a strong rapport within the team and with the client.

- Possess strong knowledge of documentation, SOP's, and process workflows.

- Candidate will be responsible for supporting clients in a range of compliance operations including communication surveillance, collateral review, reporting, and client on-boarding.

- Have an understanding of the policies and regulations laid by the regulators.

- Proficiency in global jurisdictional regulations and guidelines related to distribution, such as SEC, FINRA, FCA, MAS, SFC, etc.

- Strong understanding of asset management industry

Must have prior experience in:

- Advisory activities for portfolio, trading, and distribution desks

- Reviews and approvals of marketing materials, personal account trades, OBA/PI, social media

- Surveillances including electronic communications, trades, and forensic reviews.

- Monitoring and execution of due diligences, restricted lists, compliance certifications, trainings

- Be adept at preparing and presenting for various internal and external reporting requirements

- Ability to make judgement calls on superlative and quantitative claims.

- Identifying areas of risk, create forensic methodology for investigation, review and test the results.

- Should be able to handle client relationships to ensure smooth delivery.

- Should possess operations skills to support client in a range high volume compliance tasks.

- Possess strong knowledge of documentation, SOP's, and process workflows.

- Communicate extensively over the phone to onshore partner to escalate/resolve issues.

- Adherence to controls and compliance standards

Basic Qualifications:

- Minimum 9-10 years of experience in the relevant area

- Graduate equivalent education

- Previous compliance/risk management experience

- Strong communication skills - written and verbal.

- Knowledge of financial products/markets and familiarity with regulatory policies

- Strong research, analytical and comprehension skills, with ability to analyze and document large amounts of data.

- Sense of intellectual curiosity, enthusiasm, integrity, and confidentiality

- Excellent judgement and attention to detail

- Strong analytical and organizational skills

- Self-starter with ability to work effectively with minimal supervision.

- Proficiency in Microsoft applications

- Excellent time management skills can act as a team player and ability to multi-task.

- Preferred knowledge tools such as Star Compliance, Global Relay, SMARSH, etc