“Compliance & Regulation Senior Manager / Manager
We are looking for a new team member to strengthen our Compliance team. Title will depend on the experience of the candidate.
Qualifications
· Bachelor’s Degree in Law, Business Administration, Economics or other related fields. Graduate degree is a plus
· 5-10 years of experience in compliance, internal control or internal audit functions, preferably in asset management and/or brokerage companies or banks
· Experience in IT / IT security controls and relevant certificates would be an asset
· Excellent command of English
· Advanced skill of MS Office applications
· Strong communication, negotiation and analytical skills
· Willingness and potential for learning and development
· High sense of responsibility and adaptability to strict deadlines
· High level of attention to detail
· Hard-working and a good team-player
Responsibilities
· Implementation and review of policies, procedures, guidelines to ensure compliance with all local and global applicable rules and regulations
· Assist the implementation of the company’s compliance program
· Undertake responsibility in different domains of compliance (Sanctions, AML/CTF, KYC, Market Integrity, Professional Ethics, Protection of Clients’ Interests, and other regulatory areas)
· Support and advise business units on all compliance and regulation related matters
· Follow a control plan to assure proper implementation of the compliance framework. Follow remediation plans with recommendation owners
· Prepare management, audit and compliance committee presentations
· Work closely with local & global parent company compliance teams