International Financial Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and regulations across the firm's operations in the Americas. The role involves implementing and enforcing compliance policies, reducing risk, and promoting a culture of compliance at all levels of the organization. This role offers the opportunity to lead and shape the compliance landscape within a dynamic, international environment, ensuring the highest standards of legal and ethical conduct are maintained.
Key Responsibilities:
1) Management of Regional Headquarter Compliance
- Develop, implement and enforce procedures and policies to ensure the regional headquarters' compliance with applicable laws, regulations and group policies.
- Perform risk assessments to identify areas where the regional headquarters might be vulnerable to non-compliance.
- Ensure compliance of all constituencies (including directors of group companies) in the regional headquarters working in collaboration with human resources, legal and finance groups.
- Ensure compliance and manage approvals for personal trading and gifts and entertainment of headquarter employees.
- Maintain compliance databases for regional headquarters.
- Assume responsibility for regulatory filings of the regional headquarters.
- Support Senior Counsel with internal investigations.
- Keep appraised of and advise management and board of directors of the regional headquarters, as to regulatory developments impacting compliance.
- Respond and submit questionnaires from head office on regional headquarters compliance.
- Conduct training sessions for regional headquarters and headquarters employees.
2) Information Security and Conflict Management:
- Implement and monitor information firewalls.
- Institute clean team processes to review, redact and anonymize information intended for wider distributions within the firm.
- Conduct regular testing of adequacy of firewalls and information sharing protocols.
3) Compliance Oversight for Group Companies:
- Support regional headquarters business management teams in monitoring compliance matters of group companies.
- Review, analyze and monitor policies of group companies for which the regional headquarters has oversight to identify areas where such group companies might be vulnerable to non-compliance.
- Advise group company directors as to ongoing compliance matters at group companies.
- Make recommendations to the parent headquarters regarding possible gaps in the policy frameworks of group companies.
- Assume responsibility for translating headquarter policy requirements to meet and comply with local requirements.
- Promote a group-wide culture of compliance.
- Participate and monitor compliance committee meetings, as applicable.
- Make recommendations as to possible compliance synergies.
- Maintain close relationships with compliance functions at group companies for which the regional headquarters has oversight.
4) Regulatory and Market Intelligence:
- Oversee regulatory developments and regulatory regimes applicable to the firm/Group companies in the Americas.
- Deliver reports as needed to headquarters on regulatory developments related to compliance.
- Support market intelligence function by advising on regulatory/compliance reports.
5) Data Management and Security:
- Establish, monitor, and update Firm's data governance framework
- Establish and enforce data governance policies to ensure data accuracy, consistency and security across the organization.
- Support business teams across the organization to ensure data is used effectively and in alignment with business needs and in compliance with applicable laws and internal policies.
- Ensure adherence to data privacy regulations and best practices.
- Support the COO to establish, evaluate, and implement cybersecurity policies and procedures to protect the organization's infrastructure, employees and data.
- Support the COO in assessing cybersecurity risks, and developing plans to combat them.
Qualifications:
- Minimum of 7 years in compliance and risk management, preferably in insurance, asset management, or financial services.
- Strong familiarity with SEC regulations and insider trading laws.
- Experience with corporate governance in a multinational setting is an advantage.
- Bachelor's degree required. Juris Doctorate from an accredited law school preferred.
- Excellent analytical, leadership, and project management skills.
- Proficient in data technologies and cybersecurity.
- Strong communication skills, capable of working effectively across cultures.
- Detail-oriented with a global outlook and appreciation for diverse cultures.
- Self-directed with strong judgment and the ability to collaborate effectively.