Director of Compliance

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]

• 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

• 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