Opportunity Description
The job holder will be a leader in compliance function and will act second line of defense to control & monitor the key compliance sub-risk types in the organization. The role will report to directly to Chief Compliance Officer.
Key Responsibilities:
Lead the initial development and ongoing continuous improvement of the compliance programs
Work closely with law, compliance, finance, operations, and other business functions to develop, document, and administer policies and procedures to assure they are (and continue to be) reasonably designed to prevent, detect, and promptly correct violations of the federal securities laws and relevant insurance laws.
Conduct required reviews of policies and procedures to ensure they adequately address legal obligations as well as existing and potential risks and conflicts of interests
Prepare monthly, quarterly, and semi-annual, and annual compliance-related reporting and updates t...
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