Compliance Manager at Volition Capital

Roles & Responsibilities

Regulatory Compliance:

• Maintain full compliance with all SEC regulations.
• Serve as the primary compliance liaison between Volition Cap and SEC.
• Prepare and submit regulatory filings, reports, and disclosures as required by law.
• Maintain updated knowledge of changes in financial regulations and provide guidance to the organization.
• Manage all organizational access details and 2FAs.

Risk Management:

• Implement and update the organization’s Enterprise Risk Management system
• Manage risk management policies, procedures, and controls.
• Conduct periodic risk assessments and audits.
• Detect and prevent financial crimes, including money laundering and fraud.
• Ensure compliance with Know Your Customer (KYC) and Anti-Money Laundering (AML) regulations.

Internal Audit:

• Conduct quarterly audits in the following areas:
• Client dashboard
• Organizational passwords
• Bank & investment platforms
• Tech tools and platforms
• Folder & file sharing
• Laptops & phones
• Contacts

Policy & Training:

• Draft, review, and update compliance policies and manuals.
• Train employees on regulatory changes, compliance requirements, and best practices.
• Foster a culture of compliance and ethical behaviour within the organization.

Reporting & Documentation:

• Maintain accurate and up-to-date compliance records and documentation.
• Prepare and submit periodic reports to senior management and regulatory bodies.
• Keep copies of compliance-related communications with regulatory authorities.

Stakeholder Management:

• Work closely with legal, risk, operations, and finance teams to ensure compliance with all applicable laws.
• Manage applicable relationships with external auditors, consultants, and regulatory agencies, where needed
• Address compliance-related queries from stakeholders and regulatory bodies.

Skill Set and Values

• Strong knowledge of SEC regulations and financial compliance standards.
• Excellent analytical and problem-solving skills.
• High attention to detail and accuracy in documentation.
• Strong organizational and communication skills.
• Ability to work independently and under pressure.
• Ethical mindset with strong integrity and confidentiality.
• Ability to build a team.

Experience and Qualifications

• A degree in Law, Finance, Accounting, or a related field.
• SEC sponsorship and prior experience in a compliance role.
• Minimum of 10 years of experience in regulatory compliance within the financial sector.
• Strong understanding of KYC, AML, and risk management principles.
• Experience working with regulatory bodies, particularly the SEC.
• Proficiency in compliance reporting.

Remuneration and Perks

• Competitive remuneration in line with industry benchmarks
• Health insurance
• Birthday allowance
• Work-from-home options
• Staff-only investment opportunities
• High degree of flexibility