Deputy Head of Compliance

Job Description

Responsibilities: • Regulatory Guidance: Deliver timely, robust, and uniform compliance advice and interpretations regarding daily business operations and the launch of novel financial instruments. • Oversight & Monitoring: Execute routine compliance surveillance and internal monitoring programs to mitigate operational risk. • Regulatory Liaison: Serve as the primary point of contact for managing audits, formal investigations, and routine inquiries from governing regulatory bodies. • Tax Compliance Management: Oversee operational adherence to FATCA and CRS frameworks, including the evaluation and refinement of related internal workflows. • Cross-Functional Collaboration: Partner with various business units to address regulatory queries, providing actionable recommendations to align operations with current standards. • Stakeholder Engagement: Negotiate with and influence senior leadership across diverse departments, as well as coordinate with external legal counsel and independent consultants. • Policy Development: Design and implement internal controls, corporate policies, and operational workflows to guarantee full alignment with statutory mandates. • Governance Frameworks: Formulate ethical, streamlined reporting structures to elevate corporate transparency. • Ad-Hoc Initiatives: Spearhead special compliance projects and fulfill additional duties as directed by executive leadership. Show More