Compliance Jobs

Chief Compliance Officer, International Financial Services, Greater Los Angeles, CA

By December 22, 2021 No Comments

We are representing an established and profitable financial services firm in their search for a Chief Compliance Officer.

Why Join Us:
● Profitable and agile business with significant operations throughout the Americas
● Entrepreneurial environment with a focus technology, automation and customer experience
● Opportunity to continue building and improving of global compliance program

Expectations first 12 months:
● Build strong working relationships with executive team and stakeholders, understanding the business and culture
● Conduct enterprise wide compliance risk assessment, identify key areas of focus for year one, design and execute a work plan

● The Chief Compliance Officer will serve as the chair of the Governance and Nominating Committee and a member of the Technology Steering Committee and the Compensation Committee
● Responsible for developing and implementing a corporate governance structure that mitigates reputational, regulatory and financial risk, while creating shareholder value
● Advise the company, its officers and executives on the risks and mitigating solutions associated with a Money Services Business; promote a culture of awareness and support for compliance whereby the company is aware of these risks, the mitigating programs and the role each individual in the company plays
● Accountable for leading the domestic and international corporate governance program, which includes the corporate risk, anti-money laundering, regulatory affairs, information security, privacy, and business continuity
● Develop and manage compliance strategy related to AML/CFT and Consumer Protection/Fraud controls including the development, governance and oversight of related policies, processes, training, controls and systems, including a focus on BSA, US Patriot Act, KYC, MSB regulations
● Evaluate and provide continuous improvement of the money transfer IT system with special attention to the movement to on-line and mobile applications
● Provide guidance and advice to business partners, executive team and Board of Directors in respect to regulatory requirements, regulatory/industry standards, risk and risk management on topics related to AML/CFT.
● Consult with business partners on AML/CFT compliance requirements related to new products, expansion of products into new market and the development and expansion of the agent model
● Develop and continuously cultivate compliance through the development and communication of compliance principles and enforcement of compliance governance, protocols and controls
● Represents the compliance program to external partners such as State Regulators, Banking Partners, Pay Partners; responsible for developing and maintaining critical relationships with regulators, external audit firms, State examiners and through various industry forums
● Routinely keep management informed of the progress of the development and implementation of the AML/CFT and Consumer Protection Compliance Program, as well as any significant compliance issues that have materialized from testing, audits, examination reports, etc.
● The role may also serve as the designated BSA/AML Compliance Officer.

What You Bring:
● Education: Bachelor’s degree
● A minimum of ten years of relevant experience with an international financial services environment, including a money transfer line of business – Latin American experience is highly desirable
● Proven experience interacting effectively with Board, CEO, Audit and Finance Committee, Legal Counsel, and other members of the Senior Team in a collaborative fashion
● Flexibility to bring creative solutions in an entrepreneurial and privately-held company environment

Application Process for Chief Compliance Officer: Qualified professionals are to submit resume to Steve Harrison

Published by Conselium Executive Search, the global leader in compliance search.  

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