Vice President / Assistant Vice President - Compliance Risk Oversight & Regulatory Coordination
Core
Lead the compliance risk oversight program to manage regulatory reviews, conduct risk-based policy reviews, and support compliance operations and controls enhancements for a capital markets exchange.
Role type
Senior leadership compliance risk manager
Builds
Compliance risk oversight programs, regulatory response plans, and internal control frameworks
Domain
Financial services / Capital markets / Regulatory compliance
Required skills
Regulatory review execution, compliance issue management, policy development, regulatory liaison, training program design, compliance technology integration
Preferred skills
Risk-based assessment methodologies, digital solutions integration, cross-functional collaboration
Technologies
Regulatory technology (RegTech), compliance tools and controls platforms
Responsibilities
Develop and execute risk-based reviews of compliance with internal policies; Maintain and execute the Compliance Issue Management program; Provide compliance advice to divisions and functional areas; Support regulatory reviews by regulators (e.g., SFC) and formulate action plans; Contribute to the development of internal training programs; Support projects related to compliance operations and tools enhancements
Seniority
Vice President / Assistant Vice President, strategic leadership and program ownership