Regulatory Compliance Manager Job at Aimic Inc, San Diego, CA

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  • Aimic Inc
  • San Diego, CA

Job Description

1 day ago Be among the first 25 applicants Get AI-powered advice on this job and more exclusive features. Direct message the job poster from Aimic Inc The Regulatory Compliance Manager is responsible for developing, implementing, and managing the various Psalion and Digital Capital Management associated organizations’ compliance programs. This role involves ensuring that the companies adhere to all relevant laws, regulations, standards and internal policies in multinational jurisdictions. The Regulatory Compliance Manager executes all compliance processes directly or through third parties, both regarding regulatory authorities as well as compliance for clients, partners and service providers. The Regulatory Compliance Manager functions as the primary point of contact for regulatory bodies and acts as an advisor to senior management on compliance matters. The position requires in-depth knowledge of investment management related industry regulations and effective communication skills to guide and inform various stakeholders. Regulatory Compliance Manager Responsibilities & Duties

  • Develop, implement and maintain compliance policies and procedures
  • Monitor and assess compliance with regulatory requirements
  • Able to interpret and apply regulatory requirements to the specific jurisdictions and entities
  • Develop and execute regulatory compliance calendar for each organization
  • Regular monitoring and auditing of business operations and practices by reviewing transactions,
records, and activities to identify any compliance issues or deviations from established policies
  • Conduct regular audits and risk assessments, developing strategies to mitigate these risks
  • Execute all regulatory compliance processes related to entity creation and maintenance as well as
AML, CFT and KYT
  • Implement record-keeping to support associated reporting obligations
  • Prepare and submit compliance reports to regulatory agencies, with particular attention to SARs
  • Execute KYC/KYB/CDD/EDD compliance processes for clients, partners and service providers
  • Collaborate with other departments to investigate and address compliance issues
  • Provide training and support to staff on compliance obligations
  • Act as a liaison between the company and regulatory bodies
  • Investigate and resolve compliance violations
  • Research laws, regulations, compliance requirements, industry best practices, risk management
strategies, and recent enforcement actions impacting the companies
  • Stay updated on changes in the legal and regulatory landscape and industry standards
  • Advise senior management on compliance requirements, risks and mitigation strategies
Regulatory Compliance Manager Qualifications & Skills
  • Bachelor’s degree in law, finance, accounting, business administration, or related field
  • Professional certifications such as Certified Regulatory Compliance Manager (CRCM)
  • Hands-on work experience in policy development and implementation
  • Experience with fund compliance regulations and requirements
  • Knowledge of digital asset compliance a significant plus
  • Proven track record of managing compliance programs
  • Ability to interpret and apply regulatory guidelines
  • Experience interacting with regulatory agencies
  • Minimum of 3 years of experience in regulatory compliance
  • Strong ethics and integrity
  • Strong organizational and time-management skills, specifically regarding multinational jurisdictions,
multiple companies and their varying requirements and deadlines
  • Ability to work independently and as part of a team
  • Strong analytical and problem-solving skills, especially in identifying potential compliance risks, and
turning these insights into action plans and corrective action
  • Excellent written and verbal communication skills
  • Attention to detail and accuracy
  • Proficiency in Microsoft Office Suite
Seniority level Seniority level Mid-Senior level Employment type Employment type Full-time Job function Job function Finance Industries Banking Referrals increase your chances of interviewing at Aimic Inc by 2x Sign in to set job alerts for “Regulatory Compliance Manager” roles. Director of Regulatory Affairs AND Manager/Sr. Manager of RA(In Vitro Diagnostics Experience Required) Director, Deputy General Counsel - Enterprise Compliance Officer Legal Business Associate Manager- Legal Entity Management Sr. Risk Manager, North America Compliance, RISC Solutions Delivery Supervisor Nursing - Women's Surgery - Sharp Mary Birch - Full-time Manager/Senior Manager, Regulatory Affairs CMC Senior Regulatory Affairs Manager (Onsite) Associate Regulatory Affairs Manager (Onsite) San Diego Metropolitan Area $130,000.00-$190,000.00 4 days ago San Diego Metropolitan Area $125,000.00-$150,000.00 1 month ago Manager/Senior Manager, Regulatory Affairs CMC Manager/ Sr. Manager, Regulatory Affairs We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr Aimic Inc

Job Tags

Full time, Work experience placement,

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