Job Title: Regulatory Risk Manager
Investment compliance is a critical aspect of the financial services industry. As a regulatory risk manager, you will play a vital role in ensuring that our organization's investment activities are compliant with relevant laws and regulations.
Job Description:
* Supervise and build a strong team by fostering a culture of ownership, communication, and strategic decision-making.
* Hire candidates with a focus on evolving business needs.
* Coach and develop staff, including setting formal objectives and conducting performance reviews.
* Review metrics related to team activities to make objective, data-driven decisions for performance evaluations.
* Foster a culture of innovation and lead through transformation, focusing on quantifiable productivity and quality gains.
* Collaborate with global stakeholders to achieve business goals and plan and implement product/technology enhancements.
* Represent the investment compliance function in various forums across the firm.
* Interact closely with external and internal auditors to ensure smooth and timely audit compliance.
* Contribute to strategic business initiatives to maximise operating performance.
* Stay informed on regulatory developments, product development, and industry trends, providing insights and fostering information sharing.
* Lead client calls for service reviews and due diligence meetings, presenting product capabilities and regulatory impacts.
Required Skills and Qualifications:
1. Education: Hold a graduate or postgraduate degree with a minimum of 12+ years of experience in the financial services industry, mutual funds, stock broking, or related fields.
2. Experience: Possess extensive experience in post-trade compliance roles within investment banks, asset management, or brokerage firms.
3. Software applications: Demonstrate proficiency in relevant software applications and systems used for post-trade compliance monitoring and reporting.
4. Industry knowledge: Exhibit strong knowledge of the asset management industry, including the operation of mutual, pension, insurance, and hedge funds.
5. Audit skills: Maintain a high standard of accuracy and strong attention to detail.
6. Leadership skills: Display excellent organisational skills with the ability to prioritise workloads and adhere to stringent timelines.
7. Team management: Demonstrate proven leadership skills with the ability to effectively manage a team and drive results in a fast-paced environment.
8. Communication skills: Inspire, coach, and influence the team to achieve high performance.
9. Analytical skills: Communicate effectively with excellent interpersonal skills to build trusted relationships with internal stakeholders, regulators, and external stakeholders.
10. Certifications: Advanced degree or professional certification, including but not limited to Chartered Accountant (CA), Certified Public Accountant (CPA), Chartered Financial Analyst (CFA), Company Secretary (CS), and Financial Risk Manager (FRM) qualifications preferred.
11. Credit risk management: Certification course in Credit Risk Management (CRD), Sarbanes-Oxley Act (SOX), Investment Company Act, and European regulations preferred.