Local Head of Compliance

Responsibilities:

• Act as the appointed MLRO, Compliance Officer, and DPO of the Management Company and clients.
• Develop, implement, and maintain comprehensive compliance policies and procedures to ensure adherence to all relevant regulatory requirements.
• Lead the AML program, including monitoring, detecting, and reporting suspicious activities. Conduct periodic reviews and updates of AML policies to ensure effectiveness.
• Perform regular compliance audits and assessments to identify and address potential risks. Implement corrective actions as needed.
• Design and deliver compliance training programs for staff. Promote a culture of compliance throughout the organization.
• Prepare and submit timely regulatory reports and filings. Maintain accurate records of compliance activities and communications with regulatory bodies.
• Identify and assess compliance risks. Develop and implement strategies to mitigate these risks and provide expert guidance to senior management.
• Collaborate with departments such as Legal, Finance, and Operations to ensure compliance integration into business processes.
• Act as the primary contact with regulatory authorities and external auditors. Represent the company during regulatory examinations and investigations.
• Lead the creation and implementation of policies to address evolving regulatory requirements and industry best practices.
• Manage compliance-related incidents and investigations. Conduct root cause analyses and implement corrective actions.
• Contribute to the company's strategic objectives by providing compliance insights and ensuring compliance considerations are integrated into business decisions.

Requirements:

• Bachelor’s degree in law or a related field. Advanced degree or professional certification (e.g., CCO, CAMS) is a plus.
• Proven experience in a compliance role within financial services industry.
• Extensive knowledge of regulatory requirements, AML, and compliance best practices.
• Strong analytical skills and the ability to manage complex compliance issues.
• Excellent communication and leadership skills, with a proven track record of managing teams and influencing stakeholders.
• Ability to work independently and collaboratively in a fast-paced environment.