Compliance Manager

Overview

A high-performing work environment is crucially dependent on the Compliance Manager. Proactively monitoring and reducing reputational risks for all teams—including sales, trade, operations, settlements, and finance—is their main goal. The Compliance Manager guarantees complete compliance with all laws, regulations, and internal policies while reporting directly to the board and regulators. It is their responsibility to actively evaluate and reduce reputational and behavior concerns. The Compliance Manager effectively monitors the onboarding process and manages our opportunities pipeline by utilizing Salesforce, our client management software system. Maintaining integrity and credibility in the market is greatly aided by this function.

Responsibilities

• Create and carry out a thorough plan for managing compliance risks related to conduct, regulations, and reputation. • Act as the primary risk owner, keeping regulatory risk registers and thorough risk assessments up to date. • Make sure all reporting requirements are fulfilled and conduct monthly assurance testing on important regulatory risks. • Serve as the Money Laundering Reporting Officer, supervising AML procedures and controls and informing upper management on a regular basis. • Oversee stakeholder relations, including dealing with statutory regulators and keeping pertinent stakeholders compliant. • Take the lead on internal compliance projects, such as training courses and following policies and guidelines inside the company. • Keep abreast of any new regulatory requirements, conduct impact analyses, and make the required modifications to policies and processes.

Requirements

• A graduate or postgraduate degree from a reputable university in law, finance, business management, or a similar discipline. • Three to five years of solid experience, ideally in a financial institution, in a compliance capacity. • Strong understanding of statutory rules, procedures, and legal requirements. • Outstanding interpersonal and communication skills, along with strong leadership qualities. • Incredibly analytical and detail-oriented. • Aggressiveness and self-assurance in leading compliance programs.