Compliance Manager, New York
About the Organization
Our client is a globally recognized and responsible investor with a diversified portfolio of assets under management exceeding US$300 billion, spanning five international offices and investments in over 50 countries. Committed to delivering sustainable financial returns while tackling global challenges, the organization is actively working toward doubling the size of its portfolio over the next decade. To support this growth, our client is seeking experienced professionals who can contribute across its international footprint, including key locations such as London, Beijing, and New York.
About the Function
The Legal & Governance division oversees all regulatory, governance, and compliance-related matters across the organization. The team collaborates with business units to identify risks, ensure adherence to policies and regulations, and promote an ethical and transparent operational environment.
Position Title
Compliance Supervisor
The Role
The Compliance Supervisor will lead the development and execution of ethics and compliance policies, training programs, and risk mitigation initiatives within assigned corporate or business units. This role plays a critical part in maintaining organizational compliance with laws, internal policies, and ethical standards, while helping foster a culture of integrity.
Key Responsibilities
Ethics and Compliance Policies and Procedures
- Research local and international legal and regulatory developments to inform and maintain effective internal compliance policies.
- Review and update ethics and compliance procedures to ensure regulatory alignment and practical application.
- Oversee systems for policy lifecycle management including review, approval, communication, and enforcement.
- Monitor adherence to policies across departments to ensure corporate compliance standards are upheld.
Ethics and Compliance Program Implementation
- Lead ethics and compliance projects aligned with the organization's overarching compliance strategy.
- Partner with relevant business units to embed compliance frameworks into day-to-day operations.
Risk Assessment and Management
- Identify and assess ethics and compliance risks across assigned areas of responsibility.
- Monitor audit results and contribute to the implementation of corrective actions.
- Track developments in key risk areas to support proactive mitigation efforts.
Training and Capability Building
- Develop and deliver training programs to enhance awareness of ethics and compliance responsibilities.
- Maintain tracking systems to ensure staff complete mandatory training and refreshers.
Communications and Awareness
- Drive internal communications initiatives to reinforce ethical standards and available compliance resources.
- Promote a strong compliance culture throughout the organization.
Stakeholder and Vendor Management
- Oversee service providers and external partners to ensure compliance deliverables meet quality and cost expectations.
Continuous Improvement
- Stay informed on evolving regulations and best practices to keep the compliance program current and effective.
- Recommend and support improvements to compliance systems, workflows, and governance tools.
Reporting and Documentation
- Prepare timely, accurate reports on compliance activities and performance metrics for leadership review.
- Maintain up-to-date records for audits, training, and policy compliance.
Other Duties
- Perform other related responsibilities as needed to support the compliance function and the broader organization.
Candidate Profile
Education & Certification
- Bachelor's or graduate-level degree in a relevant discipline (e.g., business, governance, public policy, risk management).
- Certification in ethics and compliance (e.g., CCEP or equivalent) is preferred.
Experience
- Minimum of 9 years of progressive experience in compliance, ethics, governance, or related regulatory roles.
- Prior experience in multinational or cross-sector environments, particularly in the U.S., is a strong plus.
Skills & Knowledge
- Deep understanding of ethics and compliance frameworks and standards.
- Familiarity with international regulatory landscapes and risk management practices.
- Excellent communication and interpersonal skills; able to influence across multiple levels of an organization.
- Demonstrated ability to lead projects and deliver training programs in complex environments.
Reporting Line
The Compliance Supervisor reports directly to the Chief Compliance Officer and plays a key role in shaping and executing the compliance agenda across business units.
