Director of Compliance
3 weeks ago
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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