What are the responsibilities and job description for the Regulatory Compliance Manager position at CLPS Global?
Job Summary
We’re looking for a Ext Regulatory Compliance Manager to support our team in Newyork/California. This role offers the opportunity to work on meaningful projects, collaborate with talented colleagues, and contribute to the success of a growing company. If you’re someone who takes initiative, values continuous learning, and thrives in a collaborative setting, we’d love to hear from you.
Responsibilities:
- Support the Airwallex Group’s expansion by managing the regulatory compliance components of licence authorisation processes
- Act as a key stakeholder in relation to licence applications, business plan updates and information requests between Airwallex and our regulators
- Ensure that our regulatory compliance and integrity risk reporting obligations are maintained for all Airwallex Group entities in the Americas region
- Support and / or manage on-site exams and inspections (in collaboration with our LRC colleagues)
- Advise the business with respect to regulatory change initiatives with a particular focus on how to effectively manage compliance risk attached to new laws and regulations in the jurisdictions we operate
- Develop policies, processes and provide advice in relation to regulatory risk obligations that exist within the 1st line business
- Manage regulatory compliance risk within the Airwallex Risk Management Framework and associated escalation process (inc. the Group Risk Committee)
- Advise the business in relation to conduct risk and ethics matters (where appropriate) relating to our financial services licences
- Deliver the Compliance Monitoring Program; Conduct targeted and thematic reviews on a wide range of topics to ensure appropriate organisational maturity
- Deliver the Airwallex Group’s Compliance Training for employees and conduct ad-hoc training to specific business areas as required
- Conduct ‘Proactive Special Ops’ projects to unlock business or operational issues to enable Airwallex to achieve its strategic goals more rapidly
Minimum Qualifications:
- Bachelor’s degree with a minimum of 12 years of compliance experience in a regulated financial institution, FinTech, legal / consulting firm, or combination of the above
- Familiarity with financial regulatory laws, rules, regulations and industry best practices across the US and the Americas region
- Experience dealing with MTL regulators within the US, the Bank of Canada and other financial services regulators across the Americas