Develop and implement a robust compliance program aligned with applicable laws, regulations, and industry best practices.
Provide strategic guidance and leadership on compliance matters to senior management and business units.
Monitor regulatory changes and assess their impact on the firm's operations, implementing necessary adjustments.
Oversee and enhance the firm's policies, procedures, and internal controls to mitigate compliance risks.
Conduct regular compliance assessments, audits, and reviews to identify gaps and implement corrective actions.
Develop and deliver comprehensive compliance training programs to educate employees on regulatory requirements.
Collaborate with legal, risk management, and business teams to resolve compliance-related issues and drive improvements.
Establish a strong compliance culture by promoting ethical behavior, integrity, and accountability across the organization.
Serve as the primary point of contact for regulatory authorities and manage regulatory inquiries and examinations.
Stay informed about emerging compliance trends and industry developments, providing proactive guidance to senior management.
Bachelor's degree in finance, business, law, or a related field. Advanced degree or relevant certifications (e.g., CRCM, CAMS) are preferred.
Extensive experience in compliance leadership roles within the securities industry, preferably at a boutique firm or investment bank.
Strong knowledge of relevant securities regulations, including but not limited to SFC, SEC, and international regulatory frameworks.
Demonstrated expertise in developing and implementing compliance programs, policies, and procedures.
Proven track record of effectively managing regulatory relationships and handling regulatory inquiries and examinations.
Excellent understanding of securities products, trading activities, and related compliance requirements.
Strong analytical skills with the ability to identify and assess compliance risks and develop appropriate controls.
Exceptional communication and interpersonal skills to effectively collaborate with stakeholders at all levels.
Ability to influence and drive a culture of compliance throughout the organization.
Results-oriented mindset with the ability to prioritize and manage multiple initiatives in a fast-paced environment.