Head of Risk Management and Compliance

Job Function

Responsible for developing, implementing, and maintaining the organization’s compliance framework to ensure adherence to relevant financial, legal, and regulatory standards. Provides guidance on compliance risks, monitors regulatory changes, and promotes a culture of integrity and ethical conduct across the business.

Key Responsibilities:

• Develop and maintain the compliance program, policies, and procedures for all entities and investments.
• Ensure the entities and businesses complies with relevant financial, legal, and regulatory standards (e.g., SEC, MiFID II, FATCA/CRS, AML/KYC).
• Monitor regulatory changes across jurisdictions and assess their impact on the business.
• Advise senior management and key stakeholders on compliance obligations, risks, and necessary actions.
• Establish a risk-based compliance monitoring and testing program.
• Work with internal audit and legal teams to ensure control effectiveness.
• Conduct periodic risk assessments and enhance control systems accordingly.
• Design and deliver compliance training programs to staff.
• Promote a strong culture of integrity, ethics, and regulatory responsibility.
• Advise on due diligence, suitability, and ongoing monitoring of client accounts.
• Ensure adherence to investment mandates, client restrictions, and conflict-of-interest policies.
• Prepare and file required reports and disclosures to regulators.
• Provide periodic compliance reports to the Board and regulatory authorities as required.