Manager, Compliance

Howden Private Wealth; United States; On-site; USD 90,000 - 130,000; Full time

Job summary

Howden Private Wealth in the United States seeks a Compliance professional to manage the US compliance program across states, ensuring adherence to federal and state insurance regulations.

The role emphasizes due diligence, AML/KYC, data privacy, regulatory filings and staff training, serving as a primary US compliance contact for the business.

Qualifications

• Minimum 3 years of relevant compliance, regulatory or risk management experience in US financial services.
• Solid understanding of US insurance regulatory frameworks and state licensing.
• Strong organizational and interpersonal skills, with ability to manage multiple priorities across jurisdictions.

Responsibilities

• Manage day-to-day operations of the US compliance program across multiple states.
• Coordinate due diligence for clients, referrals and intermediaries using screening tools.
• Oversee onboarding and ongoing compliance reviews for clients and servicing arrangements.
• Support AML, KYC, sanctions and anti-bribery obligations across US states where HPW is licensed.
• Monitor licensing, CE/CPD tracking, and regulatory filings for licensed reps.

Skills

US compliance

Regulatory knowledge

KYC/AML

Tools

World-Check

Dow Jones

Job description

With over 40 years of industry experience, Howden Private Wealth is the preferred wealth planning partner to the world’s most respected private banks, family offices, law and tax advisory firms. As an independent insurance broker, we specialise in procuring insurance products for UHNW individuals globally.

We have representatives across Hong Kong, Singapore, Malaysia, Geneva, Zurich, Dubai and the U.S. As we are ardent believers in providing holistic solutions, being part of the Howden Group also enables us to help our UHNW clients address their other insurance needs (such as their art insurance to political risk insurance) globally through the Howden network.

The Howden Group is proud to build a business that brings together entrepreneurial teams with the best expertise and talent from all over the world. As the largest independent European broker with an international network, it strongly believes in putting its people first, knowing that profits will follow and clients are the ones who will truly benefit.

Job Responsibilities

• Manage day-to-day operations of the US compliance program across multiple states, ensuring ongoing compliance with federal and state insurance regulations
• Coordinate and liaise with central Compliance function to conduct client, prospect and intermediary due diligence, including name screening and sanction checks using tools such as World-Check, Dow Jones and publicly available sources (including performing enhanced due diligence (EDD) on higher-risk clients, referral sources and counterparties)
• Oversee onboarding and ongoing compliance reviews for clients, referral sources, and servicing arrangements
• Support compliance with AML, KYC, sanctions, anti-bribery and corruption requirements, including any other applicable regulatory obligations in the various states in which HPW is licensed in the US.
• Monitor licensing and appointment requirements for licensed representatives across multiple US states, including renewals, continuing education (CE/CPD) tracking, and regulatory filings
• Assist with regulatory reporting, audits, and examinations by state insurance departments or other regulatory bodies
• Maintain, develop and update compliance policies, procedures, and training materials in line with internal compliance requirements and regulatory changes
• Coordinate compliance training programs and track training completion for US staff and licensed representatives
• Prepare and circulate compliance reports to management, including periodic compliance reviews and risk assessments
• Act as a point of contact for compliance-related queries from the US business
• Oversee data privacy regulations and requirements applicable to the US, assuming the role of the Data Privacy Officer
• Other ad-hoc tasks as and when required

Job Requirements

• Minimum 3 years of relevant compliance, regulatory or risk management experience, preferably within insurance brokerage, financial services or wealth management in the US
• Working knowledge of US insurance regulatory frameworks, including state-based licensing and compliance requirements
• Strong organisational skills with the ability to manage multiple priorities across jurisdictions
• Team player and strong interpersonal skills
• Work from home and willing to work flexible hours to support global offices in various time zones