Compliance VP Job Description
Compliance VP
provides day-to-day focused compliance advice across the investment funds business, namely in relation to UCITS; Alternative investment Funds (AIFs); UK, Luxembourg, Irish and Maltese Regulated Fund Structures and Non-Mainstream Pooled Investments (NMPIs).
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:
Taking ownership of processes and controls in the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
Review and approve marketing materials from a compliance perspective
Managing a team and regional stakeholders
Oversight and development of some team members in relation to core activities
Regulatory Engagement – Support the EMEA IT Regulatory Manager in all regulatory engagements and responses to these
Reporting – Based on thematic anaylsis and regulatory knowledge, build out reporting on the regulatory stringency by locations, emerging themes comprehensive reporting on specific regulatory areas of interest, action plan closure, and calendar of events
Perform audits of home care agencies to verify regulatory compliance at the operational level pertaining to their caregiver employees in the field
Confirm that procedural and technology standards are maintained by the agency in compliance with State Medicaid rules
Ensure home care visit protocols are adhered to in the field and tracked back at the agency in compliance with State Medicaid rules
Assist in the design of the Verification Organization initiative, including the development and continued improvement of the plan report templates, and ensure their consistent use
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:
CDS
Commodities
Fixed income
Forwards
Rates
Repo
Treasury
PRC operating and regulatory environment
UCITS and Non-UCITS fund structures and related asset management distribution processes
With preference for candidates who have strong regulatory relationships with PRC regulators
Desired experience for compliance VP includes:
A minimum of 6 years in the Banking Industry
Prior experience in technology and operations or working with operating teams preferred
Must be able to multi-task while maintaining a strong drive for quality
Excellent interpersonal and communications skills are needed to work with clients and in-house legal counsel
Understanding of how systems and business processes interact in order to assess risks and controls to a business unit
Ability to work well independently in a time-sensitive environment
Compliance VP Examples
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Compliance VP Job Description
Job Description Example
Our company is growing rapidly and is hiring for a compliance VP. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for compliance VP
- 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
Qualifications for compliance VP
- 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
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Compliance VP Job Description
Job Description Example
Our company is growing rapidly and is hiring for a compliance VP. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance VP
- 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
Qualifications for compliance VP
- 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
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Compliance VP Job Description
Job Description Example
Our company is looking to fill the role of compliance VP. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for compliance VP
- 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
Qualifications for compliance VP
- 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
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Compliance VP Job Description
Job Description Example
Our company is growing rapidly and is hiring for a compliance VP. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance VP
- 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
Qualifications for compliance VP
- 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
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Compliance VP Job Description
Job Description Example
Our company is growing rapidly and is looking for a compliance VP. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance VP
- 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
Qualifications for compliance VP
- 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