Legal Entity Oversight Leader
4 days ago
About the Role
We are seeking an experienced Legal Entity Oversight Leader to join our team. In this role, you will be accountable for managing staff and overseeing the implementation and maintenance of effective governance mechanisms to comply with local laws and regulations.
Key Responsibilities
- Manage, direct and develop staff members at VP level and below.
- Chair and participate in committees and forums to ensure processes and controls are in place to meet regulatory and policy requirements.
- Act in an advisory capacity to ensure all board and committee charters are in line with local regulatory and policy requirements.
- Contribute to board, committee or forum materials and provide reporting to support management.
- Provide data and management information to support regulatory returns.
- Oversee third-party vendors and intercompany arrangements in line with local regulatory or policy compliance.
- Oversee business continuity planning and testing.
- Monitor new/existing legal documentation to ensure firm and client data is accurately stored within inventories.
- Maintain a book of client records and legal entity fund list.
- Review and monitor KYC, AML, financial crime compliance in line with regulatory and policy requirements.
- Manage and monitor Volcker oversight and reporting to ensure ongoing compliance.
- Drive remediation and continuous improvement programs in collaboration with global and local stakeholders.
Required Skills and Qualifications
- Bachelor's Degree in relevant field or equivalent.
- Compliance, AML or risk professional qualifications are preferred.
- Capital Market Authority qualification exams.
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