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Job

Head of Compliance, North America

 
This role is responsible for the regional management of compliance and anti-fraud training, recordkeeping, monitoring, and analytical functions involved with regulatory compliance, anti-fraud, Anti Money Laundering (AML), and Counter Terrorist Financing (CTF) across the Firm's regional market footprint. This is an exciting hands on role in the beginning stages of our global compliance program development. This role will have a significant impact on the company’s compliance department and overall compliance culture. 
 
Responsibilities:
 
Oversight of Regulatory compliance across regional market footprint:
  • Conduct Risk Assessments;
  • Manage training, records management, exams and audits, and  license registrations; 
  • Manage the resolution of outstanding issues identified in Exams and Audits;
  • Assure appropriate officer coverage and business continuity; and
  • Report to Executive Management on the status of regulatory compliance. 
Oversight of AML and CTF programs across regional market footprint:
  • Conduct Risk Assessments;
  • Oversight of training, records management, exams and audits, license registrations, and monitoring for suspicious activity;
  • Manage the resolution of outstanding issues identified in Exams and Audits;
  • Law Enforcement requests;
  • Assure appropriate officer coverage and business continuity; and
  • Report to Executive Management on the status of compliance.
• Oversight of anti-fraud programs across regional market footprint:
  • Conduct Risk Assessments;
  • Oversight of training, records management, Law Enforcement Requests, and internal and external monitoring for fraudulent activity;
  • Report to Executive Management on the status of fraud activity.
• Ensure compliance with laws, regulations, and Company policy and procedure.
 
• Produce periodic management reports.
 
• Determining course of action for cases of reputational risk. 
 
• Manage the Country Compliance Officers.
 
• Create and manage budgets.
 
• Responsible for embedding a ‘Regulatory Compliance, AML, and CTF aware’ culture throughout the firm that is capable of identifying, managing and quantifying exposures.
 
• Manage the compliance, AML, and CTF due diligence of new partners.
 
• Member of the Group Compliance Committee.
 
• Chair the Regional Compliance Committee.
 
• Carrying out any other tasks as may be requested from time to time.
 
Requirements:
 
• Graduate degree or compensating experience in compliance management role.
 
• Significant Previous Compliance Management experience.
 
• Previous Management experience 4+ employees.
 
• Thorough understanding of Compliance Management across market footprint.
 
• Team player adaptable to fast-paced and changing environment.
 
• Ability to manage tight processes with accuracy and attention to detail.
 
• Ability to dive into the details and develop greater understanding of how customer electronic footprint is used in the transaction monitoring and decision matrices.
 
• Highly disciplined person, self-motivated, and delivery focused.
 
• Excellent communication skills both verbal and written.
 
• Excellent time management skills – Be able to organize and meet monthly, quarterly and annual deadlines for multiple licenses / regulatory request.
 
• Must be able to balance extreme pressure and deadlines with constantly changing priorities. 
 
• Proficient in MS Office (Access, Excel, Word, PowerPoint and Visio).