Hybrid Investment Adviser Compliance Manager bei Venerable

The Compliance Manager will work as part of a team to build the overall compliance program for the investment adviser and report directly to the CCO.

This role is located in West Chester, PA - we are currently working in a Hybrid Work Model, in-office 3 days a week and remote 2 days a week.

Primary Responsibilities:

• Collaborate and assist the Chief Compliance Officer in the design, development, and management of the Compliance Program.
• Work collaboratively with cross functional teams to support the CCO in development of the compliance program.
• Gather and manage data from multiple internal and external sources in support of the Adviser’s business operations.
• Support the CCO in providing advice and guidance to staff on regulatory best practices and make suggestions for the continual improvement and development of the program.
• Manage relationships with service providers.
• Assist in the maintenance of the compliance manual and other related policies and procedures.
• Manage and maintain the compliance calendar.
• Assist the CCO in the evaluation and assessment of risks and conflicts, development of controls to mitigate risk and the maintenance of a Risk Assessment and Conflicts Inventory. 
• Design and conduct ongoing testing and related surveillance in support of the annual review process to include documentation of findings with a clear and concise summary of observations.
• Perform quarterly compliance reviews in support of the Code of Ethics including monitoring employee trading, maintenance of the system, deployment and review of the initial, quarterly and annual required certifications. 
• Monitor employee electronic communications
• Ensure timely preparation and accurate filing of regulatory filings.
• Coordinate, prepare for, and assist CCO in conducting the initial and ongoing reviews of service providers.
• Perform initial, ongoing, and annual due diligence reviews of subadvisor relationships to include preparation and reviews of the required annual and quarterly assessments.
• Coordinate with subadvisors on the preparation of materials required for board reporting.
• Support CCO with Adviser’s reporting requirements to the Board
• Support the CCO in the management of regulatory inspections.
• Assist with programs for educating and training personnel on compliance, regulatory and risk management matters.
• Keep abreast of regulatory developments and identify requirements related to the Adviser’s business.
• Enhance knowledge of compliance, apply knowledge and make independent judgements on matters of significance.

Knowledge, Skills and Abilities:

• 7-10 years relevant compliance experience at a registered investment adviser.
• Experience working in the investment management industry. Knowledge of the Investment Advisors Act, Investment Company Act and the rules and regulations governing SEC registered investment advisers
• Knowledge of the Investment Advisors Act and the rules and regulations governing SEC registered investment advisers
• Knowledge of the Investment Company Act preferred.
• Exposure to larger financial institutions preferred.
• Investment and operational due diligence preferred. 
• Experience using Bloomberg, Global Relay, and CompliSci or related products.
• Excellent organizational skills
• Self-starter, ability to multi-task and prioritize across a range of projects including both substantive and routine tasks.
• Proficient at time management and meeting deadlines
• Aptitude for understanding and assessing risks

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