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Compliance Manager
1 month ago
About the Role
Oversee and implement the company’s compliance policies and procedures to ensure regulatory compliance. Review internal processes and operations to identify and resolve potential compliance issues. Ensure that all employees are aware of and adhere to relevant regulations and internal policies by providing compliance training. Participate in the compliance assessment and review of new products and business initiatives. Assist in responding to regulatory inspections and investigations, handling compliance issues and complaints. Regularly report the company’s compliance status and provide recommendations to senior management. Monitor and interpret changes in regulatory policies, adjusting the company’s compliance strategies accordingly.
Responsibilities
- Oversee and implement the company’s compliance policies and procedures to ensure regulatory compliance.
- Review internal processes and operations to identify and resolve potential compliance issues.
- Ensure that all employees are aware of and adhere to relevant regulations and internal policies by providing compliance training.
- Participate in the compliance assessment and review of new products and business initiatives.
- Assist in responding to regulatory inspections and investigations, handling compliance issues and complaints.
- Regularly report the company’s compliance status and provide recommendations to senior management.
- Monitor and interpret changes in regulatory policies, adjusting the company’s compliance strategies accordingly.
Qualifications
- Bachelor’s degree or higher in Finance, Law, or a related field.
- At least 5 years of compliance experience in the financial asset management industry. In-depth knowledge of regulatory regulations and policies, with extensive compliance management experience.
- Strong communication and teamwork skills, with the ability to effectively coordinate cross-departmental collaboration.
- Proficient in using compliance management tools and software. Thorough understanding of compliance auditing, risk control, and internal controls.
- Relevant compliance certifications (e.g., CFA, CIA, CRCM) are preferred. Familiarity with compliance and regulatory policies in the crypto industry.
