Head of Internal Control
Head of Internal Control
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Job Description
ACG2787JOB
Our client is a top-notch financial services company who is looking for a qualified candidate to join their firm.
Develop and submit for approval the Company s compliance policies regulations principles and procedures for monitoring adherence to internal rules regulations and current legal requirements related to all company operations. Provide internal process consultancy.
Develop and propose periodic ad-hoc or thematic compliance inspection programs/plans to assess and detect violations.
Establish a compliance monitoring system that aligns with the Company s business model.
Manage and oversee compliance initiatives from design through execution. Prepare periodic reports to senior management detailing inspection outcomes including:
Summary reports on compliance monitoring activities with actionable recommendations.
Reports on existing or emerging compliance risks with proposed corrective actions.
Propose updates or improvements to internal policies where gaps are identified.
Track the resolution of identified issues to ensure timely corrective action.
Advise and provide regular compliance updates to internal departments and employees including guidance on internal governance and industry-specific regulations.
Lead coach and allocate tasks to team members to ensure high-quality and timely execution of responsibilities.
Act as the primary contact point during regulatory audits or inspections.
Undertake other tasks as assigned by executive leadership.
Requirements
Bachelor s degree or higher in Finance Accounting Auditing or Law. CFA ACCA CPA certifications are preferred.
At least 7 years of experience in internal control audit or risk management roles in financial institutions or securities companies.
In-depth understanding of securities operations and financial products.
Strong knowledge of securities laws and regulations.
Preference for candidates holding a valid securities license or relevant professional certifications.
Excellent verbal and written communication and analytical skills.
Strong interpersonal relationship-building and reporting abilities.
Detail-oriented persistent and capable of managing complex tasks independently or within teams.
Contact: Hieu Nguyen
Due to the immense number of applications only shortlisted candidates will be contacted.
Employment Type
Full Time
