San Francisco, CA, USA
6 months ago
A large Financial Services client of ours is looking to hire an experienced Regulatory Compliance Manager to report directly in to the Chief Compliance Officer in the San Francisco bay area.
This person will work closely with U.S. regulators, commercial and regulatory lawyers, risk management, other legal/compliance professionals within the business. Prior experience in working with regulators is a MUST here, as is experience with managing examinations and MSBs.
The ideal candidate will be a confident self-starter with strong interpersonal and organizational skills, exercise good judgement, experienced in regulatory compliance in payments or financial services industry, demonstrable ability to effectively and proactively engage and partner with the business in a fast-paced and engaging environment.
- Support the business and work closely with the other Legal, Compliance professionals such as BSA/AML/sanction, privacy, information security, risk management colleagues in the US-based business unit, and other colleagues in the International Business.
- Support the agenda of the Compliance function, including developing and/or updating Compliance policies and procedures to meet US regulatory requirements (e.g. BSA/AML/Sanctions, privacy, Cybersecurity, consumer complaint and protection, BCP/DR, FCPA and export control) and conducting compliance regulatory risk assessments and program implementation.
- Develop compliance metrics to measure the effectiveness of compliance program implementation to proactively mitigate regulatory risks.
- Develop compliance monitoring mechanism to ensure regulatory registry are up to date and controls are implemented to meet these regulatory requirements.
- Develop compliance training and communication programs and establish processes to ensure both existing and new employees are trained timely and adequately.
- Coordinating with the business and other supporting functions for all incoming or outgoing due diligence requests.
- Support Money Transmission Licenses and other similar MSB related business licenses applications and maintenance as required.
- Drive the regulatory engagement agenda and serve as the point of contact with state and federal regulators, including coordination for regulatory inquires and exams, if required.
- 10 - 12 years of relevant compliance, regulatory or similar experience.
- Strong regulatory compliance experience and demonstrable skills in BSA/AML, privacy and security, consumer protection and federal/state regulatory management.
- Knowledgeable in fintech, payment systems, money transmitter licensing or similar legal and regulatory requirements in key strategic markets such as US, Canada, and LATAM.
- A team player and the ability to work both independently and collaboratively with multiple teams located in different jurisdictions and under strict deadlines.
- Self-starter with good attitude. Resourceful, adaptable and flexible in a highly engaging, demanding and rewarding environment.
- Excellent written and verbal communication skills. Native proficiency in English required. Mandarin Chinese highly recommended.
- 20% of travel within US and China expected.
- Experience with e-commerce, payments, MSB, or financial services preferred.
- Bachelor or Advanced degree in Accounting, Business or Finance; or equivalent work or compliance and legal experience, JD preferred.
If this opportunity interests you and have match the required criteria as listed above, please get in touch with an updated resume.