Compliance VP Job Description
Compliance VP Duties & Responsibilities
To write an effective compliance VP job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance VP job description templates that you can modify and use.
Sample responsibilities for this position include:
Compliance VP Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance VP
List any licenses or certifications required by the position: CAMS, CFE, AML, CFA, ASQ, CISSP, FEMA, ACAMS, CP, SCP
Education for Compliance VP
Typically a job would require a certain level of education.
Employers hiring for the compliance VP job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Business, Finance, Law, Legal, MBA, Financial Services, Accounting, Education, Management, Graduate
Skills for Compliance VP
Desired skills for compliance VP include:
Desired experience for compliance VP includes:
Compliance VP Examples
Compliance VP Job Description
- Monitoring the completion of daily workflow and other task assigned to E-Communication Surveillance review team in Salt Lake City
- Enhance and update the existing training and implement an annual PAD and Registrations training program for Compliance and Operations staff in EMEA
- Improve / enhance communications from the PAD and Registrations group to the EMEA employee population
- Preparing management and governance reports as required presenting Compliance training
- A tertiary qualification in Law, Commerce or a related discipline preferred
- A minimum eight years compliance, regulatory, legal or risk management experience gained within a financial institution or regulator
- Experience with banking products or other relevant wholesale financial services products
- Knowledge or experience of Corporations Act, Banking Act and APRA Prudential Standards and their practical application in operational process or product features
- Provide support to regulatory projects in relation to FICC business in the region
- Provide Compliance Advice to the FICC Business in Hong Kong and other jurisdictions in the Region
- Possess the ability to determine if new laws and regulations or changes to existing laws and regulations impact the Core Cash high risk products
- Strong speaking and writing abilities in both Japanese and English
- Develop expertise in JPMC products, services and clients
- Proven record to lead a strong team in a fast-paced, deadline-driven, diverse environment
- Organized, detail-oriented, enthusiastic and professional with a strong work ethic
- 8 - 15 years of compliance experience in the financial services industry, an SRO or in Internal Audit with exposure to Institutional businesses and/or testing
Compliance VP Job Description
- Providing support to MHE Government Affairs in identifying government policy priorities
- Coordinating with relevant business units and support functions to implement internal controls to ensure compliance with policies
- Working with the internal audit department to establish compliance audit plans
- Overseeing and coordinating annual risk assessment process
- Chair Ethics, Risk and Policy committee
- Maintain good contact with regulators
- Advising all areas of the business on regulatory requirements
- Attend Dodd Frank Project Management work stream meetings to monitor issues raised and coordinate ACG response
- Assist with the development of trainings and presentations to educate FID business employees and Shared Services personnel on the Dodd Frank changes to processes and business conduct
- Assist with the development of various monitoring processes to reasonably achieve compliance with the new Dodd Frank and other regulatory requirements
- Maintaining up to date knowledge of regulatory environment, specifically in respect of the UK and Luxembourg UCITS requirements AIFMD
- An detailed understanding of Swap Dealer rules and products is also required
- Required) Experience in Equities Compliance (preferably, 3+ years)
- Strong products/market knowledges of equities and/or listed derivatives
- Strong awareness of control and governance
- Excellent communication in both English and Japanese
Compliance VP Job Description
- Handle regulatory inquiries and audits
- Manage the DOI Compliance team in Hong Kong and Singapore
- Coordinate with global and regional Compliance teams on new rules, rule changes, and strategic initiatives within DOI area
- Work with global PMO, Technology, and regional Compliance leads to implement the global strategic DOI platform in APAC
- Point of contact for escalation for external regulator and internal stakeholders, Legal, Technology, Operations
- Provide advisory to internal teams, DOI Operations, Business
- Look into changes in DOI regulations and working with Legal & Compliance to formulate requirements for monitoring
- Facilitate sessions with control owners to review and assess control design
- Work in conjunction with internal and external teams to gather reportable information, status and follow through any updates in accordance to the reporting and communication plan
- Managing the Compliance Risk Assessment process
- Have recent and demonstrable, relevant Compliance experience or other related experience legal, risk management, audit, operations controls or similar
- A team player and result oriented
- A good understanding of all EMEA country regulations used within Technology / Security for the Financial Industry
- 3-5 years of marketing review experience in an investment company, investment adviser, broker/dealer or other financial services organization, or FINRA
- Excel, PowerPoint, SharePoint, Visio and Access
- Good knowledge of Investment Banking and Compliance preferred
Compliance VP Job Description
- At least five years of relevant compliance, regulatory or legal experience gained within financial services
- Experience of Custody and Fund Services or other relevant wholesale financial services products
- Experience with Compliance desk reviews and project management
- Work with Company’s Legal department to monitor legal and contract compliance at Company (ex
- Develop an effective corporate compliance and ethics training and communications program, including appropriate introductory training for new employees ongoing education for employees and managers
- Constantly survey the regulatory and compliance landscape for developments that may require changes to Company policies and additional training
- Leverage technology to aggregate controls, risk and corporate compliance and ethics information to rapidly identify and report exceptions, improve information quality
- Be the subject matter expert for both Federal and State laws/ rules & regulations for all of the various business units across the company
- Integrate all changes in Agency requirements on a regular basis to stay compliant
- Oversee 7+ risk and compliance analyst/ policy procedure analysts while also partnering with the lines of business directly to keep their units compliant and up-to-speed
- Strong working knowledge of the applicable regulatory principles and rules applicable to The Approved Persons Regime, European Exchange Registrations and Personal Account Dealing
- Strong knowledge of the proposed Senior Managers Regime
- University degree preferably in business, finance, or economics or relevant experience
- Deliver quality compliance risk analysis
- Conduct periodic desk reviews of the activities
- Demonstrate regulatory compliance knowledge relevant to consumer laws and regulations
Compliance VP Job Description
- Review of existing onshore and offshore processes, policies and systems to ensure they are fully aligned and to highlight and implement control and process enhancements and efficiency gains
- Provision and enhancement of management information to track the performance of the team
- Identification of issues and trends from the management information, suggesting, agreeing and managing the implementation of further enhancements and process remediation where required
- Ownership of audit or other remediation activities that may be required from time to time
- Working as part of the team to support day-to-day activities across all aspects of its role, thereby also assisting in ensuring that adequate coverage for holidays and other staff absences is available
- Working collaboratively with other team members, Compliance Senior Management and business stakeholders in achieving the role objectives
- Co-ordinating with the broader Compliance department and management team to ensure appropriate training and regulatory updates are provided by the team in respect of all areas of coverage
- Be appointed as the Chief Compliance Manager of the Wholly Owned Foreign Enterprise (WOFE) for the QDLP business and carry out the duties as specified by the local regulations in respect of the role of Chief Compliance Manager
- Provide compliance advice and support to the other GIM businesses in China including the representative office, other consulting companies, the other WFOE to be set up by GIM and liaise with other compliance teams who handle other investment management businesses in China
- Review new products and assist in the product documentation and registration process
- Language skills highly desirable
- Minimum 5 years working in the financial services industry
- FICC Compliance experience in Asia in preferred but individuals with non-Compliance experience will be considered if they can demonstrate strong FICC product knowledge
- Good knowledge of regulatory framework in Asian jurisdictions in relation to foreign exchange and rate derivatives business
- Experience in dealing with HKMA will be an advantage
- Understanding of US laws and regulation including Dodd Frank Act and Volker Rule