Director of Compliance

3 weeks ago


San Jose, United States Hireio, Inc. Full time
Job DescriptionJob DescriptionOverview:

The International Compliance Department of a prominent wealth management firm is seeking to hire a Director of Compliance. The department is known for providing exceptional financial services and solutions to clients while maintaining the highest standards of compliance and integrity.

Based on: San Jose, CA.[ on-site, full-time job]

Responsibilities:
  • Oversee and manage compliance matters related to U.S. regulations and SEC requirements for RIAs.
  • Develop, implement, and maintain compliance policies and procedures in line with regulatory requirements.
  • Conduct regular risk assessments and internal audits to ensure adherence to compliance standards.
  • Provide expert guidance to business units and other stakeholders on regulatory matters.
  • Collaborate with cross-functional teams to address compliance issues and provide strategic advice on regulatory requirements.
  • Monitor changes in regulations and communicate relevant updates to the business.
  • Offer solutions-oriented advice to support business objectives while maintaining compliance.
  • Participate in training and educational initiatives for employees on compliance matters.

Requirements

Qualifications:
  • Bachelor's degree or higher in a related field.
  • 7-10 years of relevant experience in financial industry compliance, with a focus on U.S. regulations.
  • Previous experience working with the SEC or other regulatory bodies is a plus.
  • Strong analytical and problem-solving skills with the ability to think creatively and provide solutions.
  • Excellent communication and interpersonal skills.
  • Bilingual or proficient in Mandarin.

Contact info:

email:kelsey.ye@hireio.com



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