Our client, a leading provider of financial services for the digital assets sector, is seeking a Compliance Manager to support their Head of Risk and Compliance. Proven experience as a Compliance professional in a regulated environment, together with sound knowledge of financial services regulatory guidelines and standards, is essential for this role.
Key Responsibilities:
- Lead and support compliance matters and projects, including trend analysis, incident escalation and resolution report drafting, performing monitoring or assessment, and task management.
- Develop and prepare reporting to the Board, management committees and regulators.
- Creating and coordinating proper reporting channels for compliance issues, monitor metrics to help track compliance.
- Coordinating and scheduling required compliance training for employees.
- Develop company compliance communications, support, and deliver training to promote a strong compliance culture and awareness.
- Perform and manage the annual policy and procedure review process.
- Advise on new rules, lead and support implementation of new regulations, industry consultations and internal policies and licensing.
- Maintain compliance documentation including obligations, business unit manuals, compliance notices/circulars, governance databases, risk assessments and compliance plans.
- Assist with the preparation and review of documents including marketing materials, risk disclosures, vendor contracts amongst others.
- Provide advice to the business in relation to regulatory compliance matters including, but not limited to, information security, data confidentiality and privacy, anti-bribery and corruption, fraud, AML/CTF, CDD/KYC due diligence, money laundering prevention and sanctions.
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