The Chief Compliance Officer is accountable for all areas of our regulatory compliance, including operational compliance, registration and licensing, AML and financial compliance and, in collaboration with the technology team, technical compliance.
They will be responsible for the continued design, development, and implementation of these programs along with operational assessments and continuous testing and monitoring. This executive will lead and manage the compliance organization within the legal and compliance department under the supervision of the Chief Financial Officer. The concepts of integrity, commitment and ethics are critical components of the culture at ALT 5 Sigma, and this leader will play a key role in ensuring that those values remain at the forefront of every employee’s consciousness. They will provide senior-level leadership (thought, people, and results) needed to transform and maintain a robust, world-class Compliance Program.
They will lead and grow a team of professionals, responsible for the continued build-out of a world class oversight function, organized to ensure alignment with and coverage of business lines, legal entities, geographies, and control subject matters. They will represent ALT 5 Sigma from a compliance perspective internally and externally, building and maintaining strong relationships with customers, partners, and regulators where appropriate at the state and federal levels. They will drive compliance goal setting and performance, aligning and coordinating priorities and activities with other internal control groups including legal, finance, technology, and operations.
They shall ensure that the Compliance Program is adapted, as appropriate, to accommodate the unique regulatory, legal, and cultural differences that exist at the business level and within different states, regions, and markets.
More specifically, they will have responsibility for:
(i) establishing and evolving standards and procedures to manage and mitigate the risk of illegal, unethical and improper conduct;
(ii) ensuring these standards are communicated and institutionalized throughout the Company;
(iii) monitoring the Company’s compliance with these standards and procedures and;
(iv) developing sophisticated, training, learning and development programs focused on ensuring that the company is continuously evolving and reinforcing a culture of risk and compliance.
This job description is not an exclusive or exhaustive list of duties a person in this position may be asked to perform from time to time.
To succeed at ALT 5 Sigma, you must be a highly detail oriented, motivated self-starter with excellent relational, communication, and organization skills.
New York or Montreal