regional compliance director.

Built and manage the governance risk and compliance for the brokerage business in line with SM&CR or similar models, in the form of Non-Executive Board Membership or oversight of the Compliance Function as deemed necessary.
Chair, participate or advice as appropriate in compliance and governance committees.
Develop, implement and maintain an effective compliance risk management framework, in line with 3 Lines of Defence (3LOD) and designed to ensure the firm’s supervision and controls are in compliance with laws, regulatory requirements, ethics and industry best practices across Clusters (worldwide, regional, country jurisdiction, legal entity, business, product and services) that the company operates.
Build and lead a team of compliance professionals in various global offices for ongoing management of the compliance program.
Monitor horizon risks including regulatory rule changes to ensure the firm’s policies and procedures comply with appropriate laws, regulations, industry guidance and ethics.
Provide advice to senior leadership on current and emerging risk, regulatory rules, enforcements and actions.
Ensure policies and procedures are appropriately documented and referenced in the Firm’s compliance manuals and written supervisory procedures.
Proactively monitor and test the firm’s systems, processes and activities to identify and resolve potential compliance issues.
Implement, maintain and perform risk assessments of the firm’s AML/CTF, Sanctions and KYC policies for existing as well as new business, clients and regions.
Identify, examine and report suspicious activities.
Serve as the primary contact with global regulators and manage regulatory communications.
Coordinate, respond and participate, regulatory, external and internal auditors, as required under exams, inquires, reviews or audits.
Works with all levels of management to ensure that appropriate supervisory processes and controls are established, documented, and enforced within each of the firm’s areas of responsibility including but not limited to;
New account opening,
New product approval,
Counterparty, supplier and vendor risk management,
Anti-bribery and corruption,
Conflicts of interest, personal account dealing, insider trading and employee outside business activities.
Marketing material, electronic communication and written correspondence reviews.
Data Privacy / GDPR
ESMA / MIFID II / MAR directives
PSD2
Complaints Handling Treating Customers Fairly
Create policies, procedures and guidelines to maintain and monitor employee training and licensing requirements.
Travel to global office locations as necessary on an ad hoc basis,