Head of Compliance

• Develop and maintain a comprehensive compliance program that addresses all relevant regulatory requirements and industry best practices.
• Oversee the implementation and ongoing management of compliance policies, procedures, and controls across all business units.
• Monitor changes in securities laws, regulations, and industry standards, and update the firm's compliance program accordingly.
• Conduct regular risk assessments to identify potential compliance issues and develop mitigation strategies.
• Manage and supervise the compliance team, providing guidance and support as needed.
• Coordinate internal audits and regulatory examinations, and manage responses to regulatory inquiries and investigations.
• Develop and deliver compliance training programs for employees at all levels of the organization.
• Provide expert advice and guidance to senior management on compliance-related matters and potential business risks.
• Manage the compliance budget and resources effectively.
• Prepare and present regular compliance reports to the Board of Directors and senior management.

Qualifications:

• Bachelor's degree in finance, law, business administration, or a related field; advanced degree (JD, MBA) preferred.
• Minimum of 10 years of experience in compliance roles within the securities industry, with at least 5 years in a senior leadership position.
• Strong understanding of financial products, markets, and trading practices.
• Excellent leadership, communication, and interpersonal skills.
• Proven ability to manage complex projects and drive organizational change.
• Strong analytical and problem-solving skills.
• Impeccable integrity and ethical standards.
• Experience with compliance technology and systems.