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Compliance Director

2 months ago

Los Angeles, California, United States Wayoh Full time
Job Summary

We are seeking a highly experienced Compliance Director to join our team at Wayoh. As a key member of our organization, you will be responsible for ensuring the company's compliance with regulatory requirements, client guidelines, and internal policies and procedures.

Key Responsibilities
  • Regulatory Compliance: Monitor and interpret changes in global financial regulations and ensure the firm's practices comply.
  • Compliance and Operational Risk Management: Identify and monitor compliance and operational risks across the organization, conduct assessments, and develop strategies to address and mitigate those risks.
  • Policy Development and Implementation: Create, update, and implement compliance policies and procedures to align with current regulations and industry best practices.
  • Testing and Quality Assurance: Design and conduct testing of policies and procedures across departments to identify and manage risks.
  • Process Improvement: Proactively identify new technologies or efficiencies in workflows to improve the program.
  • Portfolio Compliance Guidance: Assess and provide portfolio guideline compliance guidance to portfolio management and other members of the Compliance team.
  • Regulatory Filings and Reporting: Prepare and submit regulatory filings and reports and ensure accurate and timely documentation of compliance activities.
  • Training and Support: Provide training and support to staff on compliance issues, fostering a culture of compliance within the firm.
  • Investigations and Corrective Actions: Investigate compliance breaches or issues, and implement corrective actions and preventive measures.
Requirements
  • Experience: 12+ years of experience in a compliance role within the financial services industry, preferably with a focus on Asset Management.
  • Education: Bachelor's degree in finance, law, business, or a related field is required.
  • Regulatory Knowledge: Deep understanding of relevant regulations and industry standards, such as the Investment Advisers Act of 1940 and securities regulations.
  • Availability: An ability to work onsite 2+ days per week.