Director of Compliance
Overview:
The International Compliance Department of a prominent wealth management firm is seeking to hire a Director of Compliance. This department is recognized for providing exceptional financial services and solutions to clients while maintaining the highest standards of compliance and integrity.
Based on: San Jose, CA.[on-site, full-time job]
Responsibilities:
Qualifications:
email:[email protected]
The International Compliance Department of a prominent wealth management firm is seeking to hire a Director of Compliance. This department is recognized for providing exceptional financial services and solutions to clients while maintaining the highest standards of compliance and integrity.
Based on: San Jose, CA.[on-site, full-time job]
Responsibilities:
- - Oversee the U.S. compliance program and manage day-to-day regulatory issues, ensuring alignment with U.S. regulations and SEC requirements
- - Develop and maintain compliance policies and procedures, including related internal controls, compliance training, and recordkeeping requirements
- - Monitor regulatory changes and updates, and adjust company policies and procedures accordingly to ensure ongoing compliance
- - Coordinate with HQ compliance and risk control teams on U.S. compliance and risk management issues
- - Conduct regular internal audits and risk assessments to ensure adherence to compliance standards
- - Provide training and guidance to staff on compliance matters and emerging regulations
- - Maintain the U.S. Compliance Manual, Code of Conduct, and Operation/Investment Policy and Procedures
- - Review and approve all promotional and marketing materials for compliance with relevant regulations
- - Prepare and present materials relating to compliance, policies, and procedures for review and discussion by the management team
Qualifications:
- - Bachelor's degree from a reputable university in accounting, finance, regulation, public policy, or economics
- - At least 5 years of experience in compliance or compliance-related roles in the financial industry; experience with VC/PE is a significant plus
- - Strong attention to detail and good business sense
- - Self-motivated and proactive with the ability to improve operational and accounting efficiency, multitask, and balance priorities while maintaining high attention to detail
- - Strong computer skills, including proficiency in MS Office products (Excel, Word, PowerPoint)
- - Top-notch business ethics and ability to maintain positive composure under pressure
- - Fluent in Mandarin Chinese (oral and written)
- - Must have U.S. work authorization
email:[email protected]
-
Seniority level
Director -
Employment type
Full-time -
Job function
Legal -
Industries
Primary and Secondary Education and Non-profit Organizations
Referrals increase your chances of interviewing at HireIO, Inc. by 2x
See who you knowGet notified about new Director of Compliance jobs in San Jose, CA.
Sign in to create job alertSimilar Searches
Looking for a job?
Visit the Career Advice Hub to see tips on interviewing and resume writing.
View Career Advice Hub