Compliance Operating Head - Vice-Director

Compliance Operating Head - Vice-Director

• Full-time
• Managerial role: No

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The Compliance Operating Head is responsible for overseeing the BAU, day-to-day (Business-as-Usual) activities of the Compliance Department. This role supports the Group Head of Compliance by ensuring that routine compliance operations and processes are executed efficiently, consistently, and in alignment with regulatory expectations. The ideal candidate will be highly autonomous, solution-oriented, and possess strong, hands-on experience in compliance operations, with the ability to analyze complex cases and exercise sound judgment in decision-making.

Key Responsibilities:

• BAU Oversight: Manage all routine compliance operations including onboarding, monitoring, reporting, documentation, and follow-ups.
• Process Management: Ensure smooth execution and continuous improvement of established compliance workflows and controls.
• Monitoring & Tracking: Track the completion and quality of periodic compliance deliverables and escalate issues as needed.
• Documentation & Reporting: Maintain accurate and organized records of compliance activities and support the preparation of internal reports.
• Internal Memo Review: Review internal compliance-related memos for clarity, consistency, and alignment with policy and regulatory standards before distribution.
• Case Analysis & Decision Support: Analyze complex compliance-related cases and provide well-reasoned recommendations or decisions in coordination with the Group Head of Compliance.
• Team Support: Provide logistical and operational support to the compliance managers and officers to facilitate effective BAU execution.
• Issue Escalation: Identify and escalate emerging risks, delays, or process inefficiencies to the Group Head of Compliance.

Minimum Requirements:

• Master’s degree required, preferably in Law or Economics or equivalent.
• Minimum 10 years of strong, hands-on experience in compliance operations or regulatory roles.
• Proven ability to work autonomously, analyze complex issues, and make sound decisions under pressure.
• Solid understanding of compliance frameworks, regulatory environments, and operational processes.
• CAS in Financial Services is a strong plus.
• Experience in managing and improving compliance procedures within complex organizations.
• Solution-oriented and proactive mindset.
• Strong analytical skills with a decision-making spirit.
• Excellent organizational and execution abilities.
• Detail-oriented and process-focused.
• Effective interpersonal and communication skills.
• High integrity, professionalism, and discretion.
• Strong collaboration and coordination abilities.