Compliance Supervisor

Job Summary:

The supervisor will lead a team in identifying risks, conducting internal reviews, and reporting non-compliance issues for corrective action.

Key Responsibilities:

• Supervise day-to-day activities of the compliance team to ensure timely execution of compliance-related tasks.
• Monitor changes in relevant laws, regulations, and policies, and assess their impact on company operations.
• Assist in the development, implementation, and periodic review of compliance policies and procedures.
• Conduct internal compliance audits and risk assessments to identify potential areas of compliance vulnerability.
• Coordinate with regulatory agencies and prepare required regulatory filings and reports.
• Provide training and guidance to employees on compliance matters, including anti-money laundering (AML), data privacy, and business ethics.
• Investigate and resolve compliance issues and complaints in collaboration with the Legal Department.
• Maintain documentation of compliance activities, including complaints received and investigation outcomes.
• Escalate significant compliance issues to senior management and recommend action plans.
• Stay updated on industry best practices and regulatory developments.

Qualifications:

• Bachelor’s degree in Business Administration, Finance, or any related field (Master’s degree or JD is a plus).
• Experience in regulatory compliance, internal audit, or risk management, with at least 1 year in a supervisory or leadership capacity is an advantage.
• Strong understanding of regulatory frameworks applicable to the industry.
• Experience in interacting with regulators and preparing compliance reports.
• Excellent communication, leadership, and analytical skills.
• High level of integrity and attention to detail.