Head of Compliance

Key Responsibilities

Develop and maintain a comprehensive compliance program that addresses all relevant regulatory requirements and industry best practices.Oversee the implementation and ongoing management of compliance policies, procedures, and controls across all business units.Monitor changes in securities laws, regulations, and industry standards, and update the firm's compliance program accordingly.Conduct regular risk assessments to identify potential compliance issues and develop mitigation strategies.Manage and supervise the compliance team, providing guidance and support as needed.Coordinate internal audits and regulatory examinations, and manage responses to regulatory inquiries and investigations.Develop and deliver compliance training programs for employees at all levels of the organization.Provide expert advice and guidance to senior management on compliance-related matters and potential business risks.Manage the compliance budget and resources effectively.Prepare and present regular compliance reports to the Board of Directors and senior management.

Qualifications

Bachelor's degree in finance, law, business administration, or a related field; advanced degree (JD, MBA) preferred.Minimum of 10 years of experience in compliance roles within the securities industry, with at least 5 years in a senior leadership position.Strong understanding of financial products, markets, and trading practices.Excellent leadership, communication, and interpersonal skills.Proven ability to manage complex projects and drive organizational change.Strong analytical and problem-solving skills.Impeccable integrity and ethical standards.Experience with compliance technology and systems.