Radial

Project Manager Compliance Systems

Radial • $108K — $130K *
Boston, MA 02115In-Person
Finance & Insurance
8 - 10 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's Degree or equivalent work experience required.
  • At least 9 years in investment management or financial services compliance.
  • Strong knowledge of investment management operations and regulations is essential.
  • Ability to write effectively and present analyses convincingly to drive solutions.
  • Proven analytical and problem-solving skills with independent decision-making capabilities.
  • Experience in designing and implementing compliance functions and training programs.
  • Proficiency in stakeholder representation at industry events and regulatory meetings.

Responsibilities

  • Coordinate compliance control testing and policy reviews with auditors and external counsel.
  • Monitor regulatory changes to enhance compliance program policies and controls.
  • Conduct governance surveys to report regulatory issues and evaluate responses.
  • Collaborate with business units to resolve compliance matters and document new procedures.
  • Prepare tailored responses to client compliance due diligence requests.
  • Manage reporting processes for boards of directors and corporate governance.
  • Oversee compliance-related activities for committee governance, particularly the Internal Compliance Controls Committee.

Benefits

  • Opportunity to work with a dedicated compliance team in a dynamic field.
  • Exposure to high-level governance and risk management processes.
  • Engagement with regulatory bodies, enhancing professional experience.
  • Opportunity for international travel to participate in industry discussions and meetings.
Full Job Description
The Corporate Compliance Program Manager administers ongoing activities to support controls based compliance programs (e.g., investment advisory and mutual fund compliance programs) and coordinates compliance department activities in support of firm and fund governance, including but not limited to committee governance, policy governance, and board governance.

Principal Responsibilities:

Primary functions will include, but are not limited to:

Monitoring:
  • Coordinate compliance control testing and policy/procedure reviews with auditors and outside counsel, as appropriate. Communicate requirements and expectations to impacted business areas and facilitate internal and external reviews. Resolve issues and concerns identified and escalate appropriately.
  • Monitor regulatory changes to identify those that require enhancements to compliance program policies, procedures and controls.
  • Coordinate governance surveys to ensure regulatory issues are reported in a timely manner. Evaluate the completeness of responses and follow up as appropriate to request additional information. Perform initial evaluation for further reporting and escalation.
Advisory:
  • Collaborate with business units to provide guidance for the resolution of compliance matters and to address regulatory developments. Develop and document new procedures and controls as needed.
  • Prepare and review tailored responses to compliance related due diligence requests from our clients. Involve appropriate subject matter experts and escalate concerns as appropriate.
Governance:
  • Manage processes to develop and deliver reporting to the firm's boards of directors and the parent company. Serve as primary point of contact for board and corporate deliverables. Prepare initial drafts of and review compliance reports prior to submission as required.
  • Coordinate the Compliance Department's activities with respect to committee and policy governance; administer the firm's Internal Compliance Controls Committee's activities, in particular.

Qualifications :
  • Bachelor's Degree or equivalent work experience. Must have at least nine years of work experience, within investment management or financial services compliance. Strong working knowledge of investment management operations and advisory functions and related rules and regulations is required as is expert knowledge of subject area within scope of position.
  • Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner in order to effectively drive solutions throughout the organization
  • Proven analytical skills. Make independent decisions, develop creative solutions to problems, advocate for same and manage the implementation through to acceptance.
  • Assume ownership for the delivery of projects while also operating successfully in a cross-functional, often international, team environment.
  • Experience with reviewing, evaluating, designing and implementing key compliance functions, including risk-based monitoring programs, user manuals and personnel training.
  • Represent the firm at meetings, conferences or related industry events. Participate directly with regulators during examinations.
  • Some periodic travel, domestic and international, is required.

About Radial

Radial is a leading provider of e-commerce technology and operations solutions for retailers and brands. The company offers a range of services, including order management, payment processing, fraud detection, and customer care. Radial's solutions are designed to help retailers and brands improve their online shopping experiences, increase sales, and reduce costs. The company serves a wide range of industries, including fashion, beauty, electronics, and home goods. Radial is headquartered in King of Prussia, Pennsylvania, and has operations in the United States, Europe, and Asia.
Learn more about Radial
Size
7,000 employees
Industry
Business Services
Founded
1999
* Ladders Estimates

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