Job Description
Overview:
The International Compliance Department of a prominent wealth management firm is seeking to hire a Director of Compliance. This department is recognized for providing exceptional financial services and solutions to clients while maintaining the highest standards of compliance and integrity.
Based on: San Jose, CA.[on-site, full-time job]
Responsibilities:- Oversee the U.S. compliance program and manage day-to-day regulatory issues, ensuring alignment with U.S. regulations and SEC requirements.
- Develop and maintain compliance policies and procedures, including related internal controls, compliance training, and recordkeeping requirements.
- Monitor regulatory changes and updates, and adjust company policies and procedures accordingly to ensure ongoing compliance.
- Coordinate with HQ compliance and risk control teams on U.S. compliance and risk management issues.
- Conduct regular internal audits and risk assessments to ensure adherence to compliance standards.
- Provide training and guidance to staff on compliance matters and emerging regulations.
- Maintain the U.S. Compliance Manual, Code of Conduct, and Operation/Investment Policy and Procedures.
- Review and approve all promotional and marketing materials for compliance with relevant regulations.
- Prepare and present materials relating to compliance, policies, and procedures for review and discussion by the management team.
Requirements
Qualifications:- Bachelor's degree from a reputable university in accounting, finance, regulation, public policy, or economics.
- At least 5 years of experience in compliance or compliance-related roles in the financial industry; experience with VC/PE is a significant plus.
- Strong attention to detail and good business sense.
- Self-motivated and proactive with the ability to improve operational and accounting efficiency, multitask, and balance priorities while maintaining high attention to detail.
- Strong computer skills, including proficiency in MS Office products (Excel, Word, PowerPoint).
- Top-notch business ethics and ability to maintain positive composure under pressure.
- Fluent in Mandarin Chinese (oral and written).
- Must have U.S. work authorization.
Contact info?
email?kelsey.ye@hireio.com
Key skill Required
- Accounting
- Chinese
- MS Office
- Attention to Detail
- Authorization
- Business Ethics
- Compliance
- Compliance Training
- Economics
- Ethics
- Finance
- Financial Services
- Guidance
- Investment Policy
- Management
- Marketing
- Marketing Materials
- Policies and Procedures
- Proactive
- Provide Training
- Public Policy
- Regulation
- Risk Control
- Risk Management
- Training
- International
