This is a senior appointment, with responsibilities covering several verticals within the Compliance Department.
Product Compliance:
Provide end-to-end compliance control coverage for business unit product launches, new features, maintenance, and support to implement country product restrictions.
Generate compliance plans with joint efforts from cross functions to ensure it is managed in accordance with the BU’s objectives, and that best practices are embedded in the products and services.
Manage cross-functional partner relationship and create alignment for risk assessment and remediation plan Work closely with Compliance SMEs and local/regional MLROs to ensure controls are in place, testing is complete and the business can launch on time and in line with regulatory requirements.
Risk Assessment:
Support the building of a risk program to measure, monitor, and report on compliance risk at both global and local levels.
Design risk assessment methodologies to assess a range of risks, including but not limited to enterprise-wide AML risk, risks associated with specific products, services, coins, and tokens, as well as those inherent to various countries and jurisdictions globally and different customer segments.
Identify product and operational risks, and assist in developing comprehensive risk remediation plans. Design success metrics to measure the effectiveness of risk control.
Board Governance:
Advise and support the Board on governance matters, ensuring compliance with constitutional, legal, and regulatory requirements.
Collaborate with the Chief Compliance Officer for the timely preparation and delivery of information to the Board, including agendas, minutes, and Board packs.
Ensure the Board's decisions and instructions are properly communicated and are actioned in accordance with designated timelines.
Monitor changes in relevant legislation and the regulatory environment and take appropriate action to ensure the Board remains in compliance.
Requirements:
10+ years financial regulatory industry experience, preferably at a crypto native business, fintech, broker-dealer, investment adviser, asset manager, or bank holding company
10+ years in a compliance, control, or risk management roleDemonstrated experience supporting new product launches within the financial services industry
Up to date knowledge of recent regulatory developments
Excellent communication skills, both oral and written
Demonstrated experience working independently and prioritizing multiple projects based on regulatory risk and business needs
An interest in Web3 and understanding of current regulatory narratives.
