Director of Compliance
Hireio, Inc.
San Jose, california
Overview:
The International Compliance Department of a prominent wealth management firm is seeking to hire a Director of Compliance. This department is recognized for providing exceptional financial services and solutions to clients while maintaining the highest standards of compliance and integrity.
Based on: San Jose, CA.[on-site, full-time job]
Responsibilities:
- - Oversee the U.S. compliance program and manage day-to-day regulatory issues, ensuring alignment with U.S. regulations and SEC requirements.
- - Develop and maintain compliance policies and procedures, including related internal controls, compliance training, and recordkeeping requirements.
- - Monitor regulatory changes and updates, and adjust company policies and procedures accordingly to ensure ongoing compliance.
- - Coordinate with HQ compliance and risk control teams on U.S. compliance and risk management issues.
- - Conduct regular internal audits...