Manager, Compliance

About the Company

Howden Private Wealth brings more than four decades of sector experience and serves as a trusted wealth-planning partner to leading private banks, family offices, and legal and tax advisory firms. Operating as an independent insurance broker, the business focuses on arranging insurance solutions for ultra-high-net-worth individuals around the world.

The company has teams across Hong Kong, Singapore, Malaysia, Geneva, Zurich, Dubai, and the United States. Through the wider Howden network, it is also able to support clients with a broad range of additional insurance requirements, from art coverage to political risk protection.

As part of the Howden Group, the organisation is built around entrepreneurial teams and global expertise. It is a large independent European broker with an international footprint, and it places strong emphasis on people, believing that doing so ultimately benefits clients and drives performance.

Role Overview

This position is responsible for managing the day-to-day US compliance function across several states, with a focus on keeping the business aligned with federal and state insurance rules.

Key Duties

• Run the daily operations of the US compliance programme and ensure adherence to federal and state insurance regulations across multiple jurisdictions.
• Work with the central compliance team to complete due diligence on clients, prospects, and intermediaries, including screening names and sanctions through tools such as World-Check and Dow Jones, as well as public-source research. This also includes enhanced due diligence for higher-risk clients, referral sources, and counterparties.
• Handle onboarding and ongoing compliance checks for clients, referral sources, and servicing arrangements.
• Support adherence to AML, KYC, sanctions, and anti-bribery and corruption obligations, along with any other relevant regulatory requirements in the US states where HPW is licensed.
• Track licensing and appointment obligations for licensed representatives across multiple states, including renewals, continuing education or CPD monitoring, and regulatory submissions.
• Assist with regulatory filings, audits, and examinations conducted by state insurance departments or other authorities.
• Maintain, refresh, and improve compliance policies, procedures, and training materials to reflect internal standards and regulatory updates.
• Coordinate compliance training sessions and monitor completion for US employees and licensed representatives.
• Draft and distribute compliance reporting for management, including periodic reviews and risk assessments.
• Serve as the main contact for compliance questions raised by the US business.
• Oversee US data privacy obligations and act as the Data Privacy Officer.
• Take on additional tasks as needed.

Requirements

• At least 3 years of directly relevant experience in compliance, regulatory work, or risk management, ideally within insurance brokerage, financial services, or wealth management in the US.
• Practical understanding of US insurance regulation, especially state-based licensing and compliance rules.
• Strong planning and coordination skills, with the ability to manage several priorities across different jurisdictions.
• Collaborative mindset with solid communication and relationship-building skills.
• Comfort working from home and flexibility to support teams in multiple time zones.

Additional Information

This is a full-time, onsite role based in the United States.

No salary, stipend, start date, application deadline, or vacancy count was provided in the source.

Applicants should be prepared to manage compliance responsibilities across states and support global offices with flexible working hours.

The role includes responsibility for data privacy compliance in the US as the designated Data Privacy Officer.