Compliance Manager - Boston, United States - Brown Brothers Harriman

Description

At BBH we value diverse backgrounds, so if your experience looks a little different from what we've outlined and you think you can bring value to the role, we will still welcome your applicationWhat You Can Expect At


BBH:

If you join BBH you will find a collaborative environment that enables you to step outside your role to add value wherever you can.

You will have direct access to clients, information and experts across all business areas around the world.

BBH will provide you with opportunities to grow your expertise, take on new challenges, and reinvent yourself-without leaving the firm.

We encourage a culture of inclusion that values each employee's unique perspective. We provide a high-quality benefits program emphasizing good health, financial security, and peace of mind.

Ultimately we want you to have rewarding work with the flexibility to enjoy personal and family experiences at every career stage.

Our BBH Cares program offers volunteer opportunities to give back to your community and help transform the lives of others.

The Compliance Manager is responsible for:
(i) managing the compliance program for the BBH Markets products (FX and Securities Lending); and (ii) serving as a trusted advisor to support BBH's Markets products. The Compliance Manager reports to the Global Head of Markets Compliance and supports the Markets business lines, which are include product teams located in Boston, New York, London, Luxembourg, Hong Kong and Tokyo. The Compliance Manager will have high profile exposure to the global BBH Chief Compliance Officer as well as senior leadership within the business and control function teams, including at the Partner level.

If you are looking to elevate your career working with a dynamic, global team, introduce yourself by submitting your resume.

Key responsibilities include:
Compliance with applicable laws, rules and regulations.

Continue to develop, implement and document compliance programs related to the Markets businesses, including those designed to adhere to US Dodd-Frank, EU / UK MiFID / MiFIR, EU / UK EMIR, EU / UK SFTR, ASIC and other relevant regulatory regimes applicable to BBH Markets and/or its clients.

Advisory support . Provide sound technical advice and guidance to the Markets businesses to devise practical solutions to complex regulatory matters.
Monitor and address regulatory developments .

Identify, assess and track applicable regulatory developments affecting the Markets products and/or its clients; work with the Markets business and control function stakeholders to enhance policies, procedures and programs as required.

Identify and manage compliance risk .

Proactively engage with the Markets businesses to identify emerging compliance risks and support the development and implementation of appropriate mitigation strategies.

Facilitate remediation of regulatory reporting issues .

Proactively identify, assess and remediate regulatory reporting issues on an ongoing basis in cooperation with Enterprise Risk Management (ERM), systems and business leadership teams.

Advise on global licensing / permissions .

Analyze and advise the business on global Markets client / counterparty / prospect relationships in light of licensing / solicitation advice from counsel (internal and/or external) and regulatory permissions, including in coordination with the Office of General Counsel (OGC).Review business communications .

Serve as a subject matter expert in reviewing Markets products components of marketing materials, RFPs and other relevant business communications, including in coordination with the Marketing Department and cross-functional Relationship Excellence teams as applicable.

New business developments .

Analyze potential regulatory compliance requirements associated with business developments, including in connection with new / revised Markets product offerings and/or client relationships.

Compliance support for client relationships .

Work with business stakeholders to facilitate client due diligence meetings as a Compliance representative and respond to other client queries as they arise.

Governance and oversight.

Prepare management reports for Compliance senior leadership and oversight bodies as required; participate in relevant governance and oversight bodies, including acting as a delegate for the Global Head of Markets Compliance.

Manage regulatory engagements .

Manage engagements with and facilitate responses to regulatory requests and filings, including in coordination with the Markets business, ERM and OGC.Policies and procedures .

Support the ongoing review and enhancement of Compliance and other policies and procedures applicable to the Markets businesses, including in connection with regulatory and business developments.

Training .

Prepare and deliver topical / bespoke training on areas of regulatory focus and change to the Markets business and wider audiences as applicable.

Compliance risk assessment and monitoring program .

Develop and maintain the Compliance Risk Assessment and Monitoring Program for the Markets businesses, including coordination with global Investor Services Compliance Officers as applicable.

Compliance reviews . Design and/or execute risk-based compliance reviews of the Markets businesses; facilitate monitoring and closure of any identified action items.
Coordinate with control functions. Coordinate with ERM, OGC and Internal Audit including in connection with the Compliance Monitoring Program.


Qualifications:

BS/BA or equivalent work experienceLaw degree is a plus7-10 years of work experiencePrior experience with / expertise across various compliance functions including monitoring and/or management reporting is desirableCapable of executing a range of complex tasks and analysesKeen sense for identifying and escalating issuesStrong knowledge of compliance issues relating to the Markets businesses including agency / principal trading models and regulatory reporting regimesExcellent written and oral communication skillsGood interpersonal skills and ability to interact with members of senior management as well as adaptability and willingness to take on a wide variety of new tasks in a fast-paced environmentAbility to work well under pressureLanguages an advantageWe are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.

Salary Range$140k-$180k base salary + annual bonus targBBH's compensation program includes base salary, discretionary bonuses, and profit-sharing.

The anticipated base salary range(s) shown above are only for the indicated location(s) and may differ in other locations due to cost of living and labor considerations.

Base salaries may vary based on factors such as skill, experience and qualification for the role.

BBH's total rewards package recognizes your contributions with more than just a paycheck-providing you with benefits that enhance your experience at BBH from long-term savings, healthcare, and income protection to professional development opportunities and time off, our programs support your overall well-being.

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