Head of Compliance (global)
EXANTE, Russia
Job Description
ABOUT US
EXANTE is an international investment company headquartered in London, the United Kingdom, with a fast-growing presence in Europe and the Asia Pacific.
The company provides direct market access and professional services to institutional investors, asset/wealth managers, brokerages, and investment funds: https://exante.eu/
Our trendsetting in-house Ramp;D is working with the latest technologies and developing state of the art financial products and white label solutions.
We employ over 400 talents across the globe, blending trading and technology skill sets. A dynamic, fast-growing FinTech company, EXANTE creates an inclusive environment for professional growth and development.
The Role : Head of Compliance (global)
Job Overview
We are looking for an experienced Head of Compliance who will be responsible for working to maintain an organization’s legal and ethical integrity for our regulated entities (leading global function and remote teams).
You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters. The overall goal is to make sure that the company and its employees comply with the regulations of the industry and internal policies.
Location: Any location/remote
Reporting to: Executive Director, Member of the Board
Key Responsibilities
- Conducting and overseeing internal reviews or audits periodically to ensure that compliance procedures are followed
- Conducting or directing the internal investigation of compliance issues
- Informing, educating, and training employees on matters that are associated with regulations and industry practices
- Evaluating business activities such as investments, to evaluate or assess compliance risk
- Coming up with effective plans to manage a crisis or compliance violation
- Staying up-to-date with internal standards and business goals
- Working cooperatively with external auditors when needed
- Preparing appropriate compliance reports with regulatory agencies
- Discussing arising compliance issues with management or employees
- Ensuring and verifying that all regulatory policies and procedures have been documented, implemented, and communicated.
- Collaborate and liaise with other departments and external counsels to direct compliance issues for investigation and resolution
- Development of the Company’s risk management policy and ICAAP
- Ongoing monitoring of the Company’s capital adequacy
- Analyze for the Board and Senior Management, the potential hazards associated with the recommended framework on which investment decisions are based, with association of other Company’s functions
- Build and lead high performance global team (scalable and sustainable)
Requirements
- BSc/BA in law, finance, business administration or related field
- English and Russian language skills
- Proven experience in leading global compliance function and remote teams
- In-depth knowledge of the industry’s standards and regulations (capital markets preferred)
- Well-developed organizational skills, project management skills
- Excellent interpersonal skills which enable ahead of compliance to work effectively with all department members, and also to collaborate with external auditors when needed
- Good verbal and written communication skills to inform and educate employees, and also to file correct and accurate compliance reports with regulating agencies
- Adequate experience in risk management
- Professional certification such as Certified Compliance amp; Ethics Professional (CCEP)
- Sound knowledge of legal requirements and controls such as Anti-Money Laundering
- Excellent knowledge of reporting procedures and record keeping
- A business acumen partnered with a dedication to legality
- An analytical mind able to see the complexities of procedures and regulations
- Excellent communication skills
- Capacity to work in a high-growth environment with emerging structure and manage multiple internal stakeholders
- Outstanding people management skills, team player mentality
Benefits
- Excellent career growth opportunity
- A chance to work in a trend setting international financial technologies company
- Competitive remuneration package including Stock Option Program
- Extra medical insurance and co-financed professional development program after probation period