Compliance Manager: Operations at Robert Walters

Key qualifications and experience for the Compliance Manager

• BCom / BBusSci / LLB degree – Minimum requirement
• Additional Professional qualification in Compliance, Accounting, Law, or Risk Management (Preferred)
• Proven experience leading regulatory compliance teams within financial organisations such as asset management firms, banks or insurance companies.
• Showcase prior leadership roles in similar positions within asset management or private markets environments.
• Possess hands-on experience centralising or integrating multiple compliance systems across large organisations.
• Display deep understanding of global regulations affecting asset managers including practical application within multi-jurisdictional contexts.
• Exhibit proficiency using systems such as StarCompliance, Appian workflow tools, as well as KYC screening tools like Dow Jones or ComplyAdvantage.

Key duties for the Compliance Manager

• Take ownership of key policies related to information barriers, ethical barriers, and market conduct, ensuring these are effective, up-to-date, and aligned with global standards.
• Conduct thorough reviews of wall crossing requests, maintaining comprehensive records to ensure transparency and regulatory adherence.
• Lead onboarding processes for trading counterparties and platforms, ensuring all due diligence requirements are met efficiently.
• Develop and implement robust policies for information barriers, ethical considerations, wall crosses, fund allocations, and cross-platform activities as new business initiatives arise.
• Support global compliance teams by reviewing and processing expert networks, maintaining approved lists, evaluating call requests from deal teams, participating in calls when necessary, and escalating issues appropriately.
• Oversee the onboarding of senior advisers and consultants who may have access to material non-public information (MNPI), ensuring all protocols are strictly followed.
• Assist in designing and delivering relevant training programmes and guidance materials for employees and senior management on compliance matters.
• Review and process potential employee conflicts of interest in line with established policies covering personal account dealing, gifts and entertainment, outside business interests, political activity, and contributions.
• Identify areas of non-compliance related to code of ethics or market conduct policies, escalating concerns to regional Chief Compliance Officers as required.
• Collaborate with information security and data privacy teams on data loss prevention events while managing fraud reporting channels.
• Support with CMP testing and assist Compliance teams with updating and managing Governance, Risk and Control system (GRC).
• Reporting on Code of Ethics to regional leads and Board and committee reporting.

Risk assessment reporting

• Participate in projectsto integrate various systems and technologies in place to manage compliance obligations (e.g. MNPI)
• Support the broader Compliance Operations team initiatives, such as AML and Regulatory Reporting.

Key skills

• Excellent written communication skills alongside strong verbal abilities for effective interaction with stakeholders at all levels.
• Demonstrate advanced digital literacy particularly around extracting, consolidating, and analysing data from disparate sources.
• Embody a collaborative and inclusive approach with colleagues
• Maintain meticulous attention to detail while being comfortable operating under time constraints deadlines balancing multiple priorities effectively.
• Proactive, innovative and self-motivated