Compliance Officer/AVP - International Financial Firm - Alpha Global Search LLC : Job Details

International Financial Firm is seeking a Compliance Officer who will be tasked with ensuring that firm's operations in the Americas adhere to the highest ethical standards, laws, and industry regulations. The compliance officer will be tasked with reducing compliance risk and deterring improper conduct of the directors, officers and employees of the firm in the US by implementing, updating, developing and enforcing policies and procedures. The compliance officer will play an important role in reporting regulatory compliance developments to the risk management function in the parent headquarters.

Essential Duties/Functions:

1) Management of Regional Headquarter Compliance

• Develop, implement and enforce procedures and policies to ensure the regional headquarters' compliance with applicable laws, regulations and group policies.
• Perform risk assessments to identify areas where the regional headquarters might be vulnerable to non-compliance.
• Ensure compliance of all constituencies (including directors of group companies) in the regional headquarters working in collaboration with human resources, legal and finance groups.
• Ensure compliance and manage approvals for personal trading and gifts and entertainment of headquarter employees.
• Maintain compliance databases for regional headquarters.
• Assume responsibility for regulatory filings of the regional headquarters.
• Support Senior Counsel with internal investigations.
• Keep appraised of and advise management and board of directors of the regional headquarters, as to regulatory developments impacting compliance.
• Respond and submit questionnaires from head office on regional headquarters compliance.
• Conduct training sessions for regional headquarters and headquarters employees.

2) Information Sharing Protocol and Conflict of Interest Management

• Implement and monitor information firewalls.
• Institute clean team processes to review, redact and anonymize information intended for wider distributions within the firm.
• Conduct regular testing of adequacy of firewalls and information sharing protocols.

3) Oversight of Group Companies Compliance (Minority and Majority Owned)

• Support regional headquarters business management teams in monitoring compliance matters of group companies.
• Review, analyze and monitor policies of group companies for which the regional headquarters has oversight to identify areas where such group companies might be vulnerable to non-compliance.
• Advise group company directors as to ongoing compliance matters at group companies.
• Make recommendations to the parent headquarters regarding possible gaps in the policy frameworks of group companies.
• Assume responsibility for translating headquarter policy requirements to meet and comply with local requirements.
• Promote a group-wide culture of compliance.
• Participate and monitor compliance committee meetings, as applicable.
• Make recommendations as to possible compliance synergies.
• Maintain close relationships with compliance functions at group companies for which the regional headquarters has oversight.

4) Market Intelligence

• Oversee regulatory developments and regulatory regimes applicable to the firm/Group companies in the Americas.
• Deliver reports as needed to headquarters on regulatory developments related to compliance.
• Support market intelligence function by advising on regulatory/compliance reports.

5) Data Management and Security

• Establish, monitor, and update Firm's data governance framework
• Establish and enforce data governance policies to ensure data accuracy, consistency and security across the organization.
• Support business teams across the organization to ensure data is used effectively and in alignment with business needs and in compliance with applicable laws and internal policies.
• Ensure adherence to data privacy regulations and best practices.
• Support the COO to establish, evaluate, and implement cybersecurity policies and procedures to protect the organization's infrastructure, employees and data.
• Support the COO in assessing cybersecurity risks, and developing plans to combat them.

Essential Qualifications & Characteristics

• At least seven (7) years of compliance and risk management work experience, ideally at a firm specializing in insurance, reinsurance, asset management, and/or other related financial services industries.
• Experience working in a headquarters or regional headquarters overseeing multiple companies preferred but not necessary.
• Strong knowledge of SEC rules and regulations applicable to publicly traded companies and insider trading.,
• Familiarity with antitrust compliance preferred but not required.
• Regulatory compliance experience, ideally in the life insurance and/or asset management sectors.
• Strong project leadership skills.
• Ability to effectively manage teams and implement multiple projects simultaneously.
• Familiarity and affinity for Japanese business culture preferred.
• Experience with working with and advising senior leaders.

Education and Other Credentials

• Bachelor's degree from an accredited college or university.
• Juris Doctorate degree from an accredited law school preferred.

Competencies

• Detail oriented –extensive ability to read, analyze and interpret government regulations, trade journals, and legal documents.
• Critical thinking and learning agility – strong analytical and problem-solving skills that produce legally sound, practical solutions under changing circumstances.
• Familiarity with data warehousing, cybersecurity, and various data technologies, including cloud computing platforms.
• Effective communication – excellent verbal and written communication skills (including cross-culturally) that promote discussion and deliberation, and consensus decision-making.
• Self-direction, confidence and judgment – ability to function effectively and credibly without direction from a supervising attorney.
• Collaboration – ability to work collaboratively in a small office setting and across business cultures in harmony with others.
• Global orientation – interest and appreciation of different cultures.