Compliance (Risk Management) Officer
You will support the compliance officer in day-to-day duties and help build and operate the compliance monitoring system, including internal control standards, risk management standards, and the code of ethics. You will review whether business activities comply with relevant laws before they are carried out, and pre-screen advertising and content for regulatory compliance. You will work to prevent conflicts of interest and block the misuse of undisclosed material information. You will also respond to audits and requests from regulatory authorities, helping strengthen the internal control and risk management framework of a leading virtual asset exchange as it becomes subject to institutional regulation.
Responsibilities
- Support the compliance officer's duties
- Establish and operate the compliance monitoring system including internal control standards, risk management standards, and code of ethics
- Pre-check compliance with relevant laws for business activities
- Pre-review advertisements and content
- Prevent conflicts of interest
- Block misuse of undisclosed material information
- Respond to regulatory audits and requests
Requirements
- 7+ years of relevant experience
- Experience in compliance work within the financial industry
- Ability to lead work responsibly with self-direction
- Strong communication skills and collaborative attitude
- No history of disciplinary action at previous or current employer
- Experience directly performing financial institution supervision and inspection work preferred
- Experience or understanding of responding to regulatory authority inspections and audits preferred
- Experience or understanding of the virtual asset industry preferred
- Attorney license preferred
- Experience establishing or operating AI governance systems and compliance standards within the financial industry preferred