Compliance Manager

About the role

The Compliance Manager will lead Volition Cap’s regulatory and risk functions, ensuring full adherence to SEC regulations and internal policies. This senior position reports to senior management and works closely with legal, risk, operations, and finance teams.

Key responsibilities

• Maintain full compliance with all SEC regulations and act as the primary liaison with the SEC.
• Prepare and submit required regulatory filings, reports, and disclosures.
• Implement and update the Enterprise Risk Management system, conduct risk assessments and audits.
• Detect and prevent financial crimes, ensuring KYC and AML compliance.
• Conduct quarterly internal audits across client dashboards, passwords, banking platforms, tech tools, and devices.
• Draft, review, and update compliance policies; train employees on regulatory changes.
• Maintain accurate compliance records and submit periodic reports to senior management and regulators.
• Collaborate with legal, risk, operations, finance, external auditors, consultants, and regulatory agencies.

Required profile

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

Required skills

• Knowledge of SEC regulations and financial compliance standards.