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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
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Job Tags
Full time, Work experience placement,