The incumbant will coordinate, oversee, and handle all regulatory and compliance matters within the institution and its affiliates. The CCO will report directly to the CEO and the President, as well as having direct access to the Board of Directors.
Predominant tasks will involve:
Managing and supporting the Compliance department including other members of the team - directly reporting to the CEO.
Continually reinventing the Compliance function, along with monitoring and identifying market trends and regulatory requirements which may impact the business activites and affiliates of the company.
Take the lead of the AML/CTF efforts of the institution.
Communicate with the Executive Management, Business Units, and Regulatory Committee to ensure high standards of professional business conduct and regulatory compliance. Also to support the business initiatives of the Executive Management through guidance on any potential regulatory challenges.
Promote a compliance culture which is both effective, ensures staff awareness, and respects the ethical code of conduct.
Manage and develop relationships with enforcement and regulatory authorities.
The ideal candidate will have:
Minimum of ten years Compliance experience within Financial Services, preferably within Asset Management/Investment.
Master's degree in Law or equivalent.
Solid track record of working with business matters of considerable complexity and scale whilst achieving challenging objectives.
Positive attitude, high attention to detail, organised and analytical, dynamic, diplomatic, innovative and able to motivate and empower the performance of the team.