A leading investor service firm is looking for a Head of Compliance and Risk to join their team. The individual will be responsible for delivering an integrated compliance and risk culture across the business and ensure compliance with established laws, regulations, codes and principles.
Responsibilities:
- Identify, monitor and report regulatory risk in the business
- Ensure Compliance policies and procedures kept up to date with regulatory changes
- Provide guidance on proper application and interpretation of laws, regulations and policies
- Escalate, manage, and report legislative breaches in an appropriate manner
- Support First Line on compliance and risk related matter
- New business review and sign off for AML/CDD compliance purposes
- Support EDD on PEP and High-Risk relationships
- Compliance monitoring and surveillance
- Act as primary liaison/interface with applicable regulators
- Liaise with DPO and ensure that the entity acquires and maintains appropriate licenses
Requirements:
- 10+ years of Compliance experience in Wealth Management/PB/Trust
- Proven senior compliance leader with track record of regulatory experience
- Excellent working knowledge of local legislative and regulatory framework
- Strong knowledge of Trust, company administration, investor services (fund admin) sectors - operational, regulatory, and financial requirements
- Strong stakeholder management skills
- University degree holder with relevant professional qualification
- Excellent communication and influencing skill
- Possess cultural awareness/sensitivity and strong emotional intelligence
Selby Jennings is a Trading Style of Phaidon International (License number 16S8194)
