Job Responsibilities:
1. Risk Management
Develop and maintain a comprehensive risk register, identifying and mitigating risks across asset management, financial advisory, and capital markets.
Monitor environmental risks and assess new threats or opportunities that could impact business continuity.
Conduct ongoing risk assessments and adapt the firm’s risk management framework in response to evolving risks.
Design and implement risk mitigation policies, procedures, and internal controls.
Evaluate the effectiveness of mitigation strategies through consistent monitoring and reporting.
Work closely with departments to integrate risk management into daily operations.
Stay current with changes in regulatory landscapes and industry risk practices.
Contribute to internal policy development focused on enterprise risk.
Oversee preparation and delivery of regular risk exposure reports to senior leadership.
2. Compliance Management
Ensure the organization adheres to all applicable laws, regulations, and industry standards (e.g., SEC, AML/CFT, financial market regulations).
Develop, review, and update the company’s compliance framework and documentation.
Lead regular compliance training programs to instill a culture of accountability across the organization.
Oversee the implementation of compliance systems and controls.
Investigate and resolve any compliance breaches or concerns effectively and in a timely manner.
Perform internal compliance audits and provide actionable insights.
Prepare compliance reports and briefings for executive leadership.
Remain informed on regulatory updates and apply best practices across the firm.
3. Internal Controls & Audit
Design and maintain internal control mechanisms to mitigate operational, financial, and reputational risks.
Lead the development and execution of internal audit programs to ensure effective control systems.
Follow up on audit results, ensuring timely and effective remediation of identified issues.
4. Reporting & Communication
Prepare detailed reports on risk and compliance metrics for executive management and the Board.
Facilitate transparent and clear communication of risk issues across all business levels.
Maintain thorough documentation of risk and compliance procedures, activities, and findings.
5. Cross-Functional Collaboration
Liaise with departments including Legal, Operations, IT, and Finance to promote uniformity in compliance and risk practices.
Actively participate in internal committees and working groups related to governance, risk, and compliance initiatives.
Qualifications:
- Bachelor’s degree in Finance, Accounting, Law, or a related field.
- Relevant certifications, e.g., Certified Compliance and Ethics Professional (CCEP), Certified Anti-Money Laundering Specialist (CAMS), etc.
- 5+ years of experience in risk management and compliance, preferably in a financial services organization.
- Strong understanding of relevant regulatory frameworks and industry best practices.
- Must be SEC- Sponsored.
- Excellent analytical, problem-solving, and communication skills.
- Proficiency in Microsoft Office Suite and relevant compliance software.
- Ability to work independently and as part of a team.
