Key Responsibilities:
- Compliance Oversight: Collaborate with the current GC/CCO in implementing and managing a compliance program to ensure adherence to applicable laws, regulations, and internal policies.
- Policy Development: Contribute to the development, implementation, and maintenance of compliance policies and procedures, ensuring they align with industry best practices and regulatory requirements.
- Risk Assessment: Conduct regular risk assessments to identify and evaluate compliance risks. Develop strategies to mitigate risks effectively.
- Training and Education: Coordinate and deliver comprehensive compliance training programs to educate employees on regulatory requirements, internal policies, and best practices.
- Regulatory Compliance: Stay up to date with relevant regulatory changes and industry trends. Ensure timely and accurate filing of regulatory reports, disclosures, and other compliance obligations.
- Monitoring and Testing: Maintain an effective surveillance, monitoring, and testing program to evaluate the adequacy and effectiveness of internal controls and compliance processes.
- Investigations and Reporting: Oversee investigations into compliance-related incidents and allegations. Prepare reports on findings and recommend remedial actions to mitigate potential risks.
- Relationship Management: Foster a collaborative compliance culture across the organization.
Qualifications:
- A minimum of 8-10 years of experience in compliance
- Sound knowledge of relevant laws, regulations, and industry standards, such as SEC, FINRA, and anti-money laundering (AML) regulations.
- Proven leadership abilities and the capacity to guide and mentor junior compliance staff.
- Demonstrated experience in developing and implementing compliance policies, procedures, and training programs.
Structure: 5 days a week in person