Director of Compliance

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 and risk assessments to ensure adherence to compliance standards.
• - Provide training and guidance to staff on compliance matters and emerging regulations.
• - Maintain the U.S. Compliance Manual, Code of Conduct, and Operation/Investment Policy and Procedures.
• - Review and approve all promotional and marketing materials for compliance with relevant regulations.
• - Prepare and present materials relating to compliance, policies, and procedures for review and discussion by the management team.

• - Bachelor's degree from a reputable university in accounting, finance, regulation, public policy, or economics.
• - At least 5 years of experience in compliance or compliance-related roles in the financial industry; experience with VC/PE is a significant plus.
• - Strong attention to detail and good business sense.
• - Self-motivated and proactive with the ability to improve operational and accounting efficiency, multitask, and balance priorities while maintaining high attention to detail.
• - Strong computer skills, including proficiency in MS Office products (Excel, Word, PowerPoint).
• - Top-notch business ethics and ability to maintain positive composure under pressure.
• - Fluent in Mandarin Chinese (oral and written).
• - Must have U.S. work authorization.

Contact info：

email：[email protected]