Compliance

• Conduct routine risk assessments, compliance audits, and internal reviews to evaluate the effectiveness of governance and control measures.
• Identify, monitor, and escalate emerging risks or compliance issues, proposing practical solutions and mitigation strategies.
• Manage and maintain the risk management framework, ensuring alignment with business goals and information security standards.
• Lead or support investigations of compliance incidents and provide recommendations for resolution and prevention.
• Collaborate with teams across business units, including Information Security, Operations, Finance, and Product, to integrate risk awareness into daily activities and strategic initiatives.
• Develop, update, and communicate risk and compliance policies, procedures, and training materials to promote a culture of accountability.
• Prepare reports and dashboards that summarize risk trends, compliance outcomes, and internal control effectiveness for management review.
• Support readiness for external audits, regulatory assessments, and contractual compliance reviews.
• Contribute to ongoing improvements in risk processes through automation, data analysis, and best practice adoption.
• Stay informed about industry regulations, emerging risks, and evolving compliance standards relevant to the organization.

Compliance Analyst

Senior Manager, Compliance Monitoring and Oversight

Fund Compliance Manager

Associate Director, Regulatory Compliance

Director – Governance, Risk and Compliance