Head of Compliance Strategy
2 weeks ago
Head of Compliance Strategy at Sumitomo Mitsui Banking Corporation
As the Head of Compliance Strategy, you will be at the forefront of ensuring that our investment advisory firm adheres to all regulatory standards and internal policies. This pivotal role involves leading the compliance framework within a reputable financial institution, emphasizing the importance of ethical practices and regulatory adherence.
Key ResponsibilitiesThe ideal candidate will take charge of formulating and executing the compliance strategy for a registered investment adviser. Responsibilities include:
- Establishing and managing the compliance framework for the firm.
- Providing guidance to executive leadership on compliance-related matters.
- Overseeing business operations to guarantee adherence to applicable regulations.
- Administering trade compliance initiatives and ensuring accurate regulatory submissions.
- Serving as the primary liaison with regulatory bodies and supervising compliance audits.
- Maintaining comprehensive knowledge of securities regulations and compliance standards.
- Educational Background
- Bachelor's degree in economics, computer science, finance, or a related field is preferred.
- Advanced degrees such as an MBA or JD are advantageous but not mandatory.
- Essential Skills
- Possession of Series 65, Series 66, and Series 7 licenses or equivalent professional credentials (CFA, CFP, CIC, ChFC, PFS).
- Strong leadership and managerial capabilities.
- Proficiency in Microsoft Windows and Office applications.
- In-depth understanding of compliance within asset management and investment advisory sectors.
- Professional Experience
- A minimum of 15 years in risk management, compliance, auditing, or legal roles.
- At least 10 years of experience with a registered investment adviser.
- 5 years of experience in a supervisory capacity.
- Direct involvement in managing regulatory examinations, fund compliance, and familiarity with the Investment Company Act of 1940.
- Travel Requirements
- Willingness to undertake domestic and international travel as necessary.
We are dedicated to fostering a diverse and inclusive workplace culture. Our organization values the contributions of all employees and is committed to providing equal employment opportunities.
At Sumitomo Mitsui Banking Corporation, we offer a flexible work environment that allows for a hybrid model, enabling employees to balance their professional and personal lives effectively.
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