Compliance Leader Opportunity
The ideal candidate will oversee our Compliance Function, ensuring complete regulatory adherence and serving as the second line of defense. The role encompasses market abuse surveillance, anti-money laundering (AML), counter-terrorist financing (CTF), sanctions, KYC, onboarding, and engagement with regulators.
Key Responsibilities:
* Lead and direct the Compliance Function to ensure full regulatory compliance.
* Oversee market abuse surveillance and AML/CTF/sanctions processes.
* Manage client onboarding activities and maintain accurate Know Your Customer information.
* Assess and determine when to file Suspicious Transaction Reports.
* Oversee communication and engagement with relevant regulatory bodies.
* Ensure the organization meets all regulatory obligations in applicable jurisdictions.
* Provide informed compliance advice to business units and respond to ad hoc queries.
* Contribute to projects, new products, and proposals while considering reputational risks.
* Deliver training on regulatory risks and changes to enhance team knowledge.
* Implement a risk-based compliance monitoring program including risk assessments, business reviews, thematic reviews, and testing.
* Maintain surveillance, logging, escalation, and resolution of relevant issues.
* Execute core compliance processes such as market conduct, gifts and entertainment, regulatory liaison, reporting, licensing, employee trading, conflicts of interest, and breach logs.
* Draft and maintain compliance frameworks, policies, plans, and procedures.
* Stay up-to-date with market trends, regulatory changes, and technological advancements.
* Produce management reports for internal committees and the Board.
* Mentor and develop junior compliance officers to enhance their skills.