CLIENT BACKGROUND
We are seeking an experienced and strategic Compliance Vice President to join our team. The successful candidate will oversee all compliance-related activities, ensuring that our operations adhere to regulatory requirements and internal policies. This role requires a seasoned professional with a deep understanding of the financial industry and a proven track record in compliance management.
JOB RESPONSIBILITY
- Develop, implement, and maintain compliance policies and procedures.
- Monitor and assess the effectiveness of compliance programs.
- Ensure the brokerage's operations comply with relevant laws and regulations.
- Conduct regular compliance audits and risk assessments.
- Provide guidance and training to staff on compliance matters.
- Liaise with regulatory bodies and external auditors.
- Stay updated on regulatory changes and industry best practices.
- Report to senior management and the board on compliance issues and developments.
JOB REQUIREMENTS
- Minimum of 10 years of experience in compliance, preferably within the financial services industry.
- In-depth knowledge of international regulatory frameworks and compliance standards.
- Strong leadership and management skills.
- Excellent analytical and problem-solving abilities.
- Effective communication and interpersonal skills.
- Ability to work independently and as part of a team.
- Relevant certifications (e.g., CAMS, CRCM) are a plus.
