What are the responsibilities and job description for the Compliance Officer- Insurance/Asset Management position at Alpha Global Search LLC?
International Insurance / Asset Management Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and regulations across the firm's operations in the Americas. The role involves implementing and enforcing compliance policies, reducing risk, and promoting a culture of compliance at all levels of the organization. This role offers the opportunity to lead and shape the compliance landscape within a dynamic, international environment, ensuring the highest standards of legal and ethical conduct are maintained.
Key Responsibilities :
1) Policy Enforcement and Compliance Management :
Develop and enforce compliance policies to align with laws, regulations, and group policies.
Conduct risk assessments and internal audits to ensure compliance across all regional departments.
Manage regulatory filings and support compliance-related internal investigations.
Provide regular updates on regulatory changes to senior management and the board of directors.
2) Information Security and Conflict Management :
Oversee the implementation of information firewalls and clean team processes.
Ensure the effectiveness of information sharing protocols through regular testing.
3) Compliance Oversight for Group Companies :
Monitor and advise on compliance matters within group companies.
Review and align group company policies with headquarters' compliance standards.
Facilitate and participate in compliance committee meetings.
4) Regulatory and Market Intelligence :
Monitor regulatory developments affecting the firm in the Americas.
Provide comprehensive reports on compliance and market conditions to headquarters.
5) Data Management and Security :
Establish and maintain a robust data governance framework.
Support the implementation of cybersecurity measures and data privacy compliance.
Qualifications :
Minimum of 7 years in compliance and risk management, preferably in insurance, asset management, or financial services.
Strong familiarity with SEC regulations and insider trading laws.
Experience with corporate governance in a multinational setting is an advantage.
Bachelor’s degree required. Juris Doctorate from an accredited law school preferred.
Excellent analytical, leadership, and project management skills.
Proficient in data technologies and cybersecurity.
Strong communication skills, capable of working effectively across cultures.
Detail-oriented with a global outlook and appreciation for diverse cultures.
Self-directed with strong judgment and the ability to collaborate effectively.
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