Compliance Manager at Volition Capital Investments Limited

Job Title: Compliance Manager

Roles & Responsibilities
Regulatory Compliance:

• Maintain full compliance with all SEC regulations.
• Serve as the primary compliance liaison between Volition Cap and SEC.
• Prepare and submit regulatory filings, reports, and disclosures as required by law.
• Maintain updated knowledge of changes in financial regulations and provide guidance to the organization.
• Manage all organizational access details and 2FAs.

Risk Management:

• Implement and update the organization’s Enterprise Risk Management system
• Manage risk management policies, procedures, and controls.
• Conduct periodic risk assessments and audits.
• Detect and prevent financial crimes, including money laundering and fraud.
• Ensure compliance with Know Your Customer (KYC) and Anti-Money Laundering (AML) regulations.

Internal Audit:

• Conduct quarterly audits in the following areas:
• Client dashboard
• Organizational passwords
• Bank & investment platforms
• Tech tools and platforms
• Folder & file sharing
• Laptops & phones
• Contacts

Policy & Training:

• Draft, review, and update compliance policies and manuals.
• Train employees on regulatory changes, compliance requirements, and best practices.
• Foster a culture of compliance and ethical behaviour within the organization.

Reporting & Documentation:

• Maintain accurate and up-to-date compliance records and documentation.
• Prepare and submit periodic reports to senior management and regulatory bodies.
• Keep copies of compliance-related communications with regulatory authorities.

Stakeholder Management:

• Work closely with legal, risk, operations, and finance teams to ensure compliance with all applicable laws.
• Manage applicable relationships with external auditors, consultants, and regulatory agencies, where needed
• Address compliance-related queries from stakeholders and regulatory bodies.

Experience and Qualifications

• A Degree in Law, Finance, Accounting, or a related field.
• SEC sponsorship and prior experience in a compliance role.
• Minimum of 10 years of experience in regulatory compliance within the financial sector.
• Strong understanding of KYC, AML, and risk management principles.
• Experience working with regulatory bodies, particularly the SEC.
• Proficiency in compliance reporting.

Skill Set and Values:

• Strong knowledge of SEC regulations and financial compliance standards.
• Excellent analytical and problem-solving skills.
• High attention to detail and accuracy in documentation.
• Strong organizational and communication skills.
• Ability to work independently and under pressure.
• Ethical mindset with strong integrity and confidentiality.
• Ability to build a team.

Remuneration and Perks

• Competitive remuneration in line with industry benchmarks
• Health insurance
• Birthday allowance
• Work-from-home options
• Staff-only investment opportunities
• High degree of flexibility.

Application Instructions:

The application deadline is Not Specified. Therefore, qualified and interested candidates can “CLICK HERE TO SUBMIT APPLICATION” It is important to visit the official website (link found below) for detailed information on how to apply successfully for this vacancy.

Official Job Website: https://volitioncap.com/caree