Senior Advisor, Legal and regulatory compliance
Core
Design, institute, and coordinate the legal and regulatory compliance framework while enforcing rules and advising senior management on strategic directions.
Role type
Senior Legal and Regulatory Compliance Advisor
Builds
Compliance frameworks, policies, standards, and strategic initiatives for the organization
Domain
Financial Services / Legal Compliance
Required skills
Strategic planning, policy development, stakeholder coordination, complex project management, regulatory analysis, negotiation, expert advisory
Preferred skills
CIM, CFA, or GPC designation, CIRO registration (Registered Supervisor of Approved Persons or Options Supervisor)
Technologies
N/A
Responsibilities
Lead specialized development projects impacting the entire organization; Identify and recommend legal and regulatory compliance strategic directions; Advise clients and partners on strategic projects; Analyze and address major issues for decision-making bodies; Develop and update policies and programs; Offer compliance programs to promote ethics culture; Represent the unit before senior management committees; Negotiate agreements with external partners
Seniority
Senior, hands-on IC