Overseeing compliance inspections for an investment management company. Supporting the development and maintenance of compliance processes and providing guidance on regulatory implications.
About the role
- Associate Director managing regulatory compliance for Airwallex’s US operations. Focused on MTL licensing and regulatory engagement across the financial landscape.
Responsibilities
- Deliver on the regulatory engagement strategy for Airwallex US and manage the MTL licensing program
- Maintain licensing responsibilities and coordinate with internal and external parties to ensure compliance
- Communicate regulatory requirements and collaborate on productizing solutions
- Implement and execute processes, file requisite reports, renew registrations and licenses
- Manage regulatory examinations and interface with MTL regulators on inquiries
- Analyze new and existing products to ensure compliance with regulatory obligations
- Guide the first line business to mature customer-facing and internal processes
Requirements
- 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
- Data proficiency - ability to work with data and leverage it for strategic decision-making
- Ability to operate strategically and think creatively to solve complex regulatory compliance challenges
- Superior communication skills, with the ability to clearly explain complex topics to a wide range of stakeholders including regulators, executive leadership, and front-line staff
- Experience with developing and/or maintaining a compliance program within a financial institution, preferably in respect of payments activity
- Exposure to licensing processes, regulatory expansion, and RegTech or technology-driven compliance solutions
- Deep understanding of financial products/services and related conduct risk, ethics, and controls
Benefits
- Medical, dental, and vision insurance
- 401(k) plan
- Short-term and long-term disability
- Basic life insurance
- Well-being benefits
- 20 paid days of vacation
- 12 paid days of company holidays
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