Compliance Manager

Your Mission Should You Choose to Accept it 😁

Anyone who has worked in a SEC-licensed company is probably weary of forms by now. But for some reason, you relish them. The chance to work on the nuts & bolts that ensure regulatory compliance excites you. You’re a stickler for the rules and the type to double-check that doors are locked. You’re never late for anything and insist on writing everything down. After all, if it’s not written down, it doesn’t exist!

At Volition Cap, you’ll get a chance to build a compliance team from scratch, overseeing a new department that consists of compliance, risk management, and internal audit. In the process, we might just make an intrapreneur out of you! You’ll be trained, mentored and guided as you build your career across a global organization. If this sounds like a challenge, then read on!

About Volition Cap

Volition Cap is a game-changing asset manager empowering Africans & Diasporans to create wealth. We are fund managers for a related cooperative, Vizient Coop.

Roles & Responsibilities

Regulatory Compliance:

• Maintain full compliance with all SEC regulations.
• Serve as the primary compliance liaison between Volition Cap and SEC.
• Prepare and submit regulatory filings, reports, and disclosures as required by law.
• Maintain updated knowledge of changes in financial regulations and provide guidance to the organization.
• Manage all organizational access details and 2FAs.

Risk Management:

• Implement and update the organization’s Enterprise Risk Management system
• Manage risk management policies, procedures, and controls.
• Conduct periodic risk assessments and audits.
• Detect and prevent financial crimes, including money laundering and fraud.
• Ensure compliance with Know Your Customer (KYC) and Anti-Money Laundering (AML) regulations.

Internal Audit:

• Conduct quarterly audits in the following areas:
• Client dashboard
• Organizational passwords
• Bank & investment platforms
• Tech tools and platforms
• Folder & file sharing
• Laptops & phones
• Contacts

Policy & Training:

• Draft, review, and update compliance policies and manuals.
• Train employees on regulatory changes, compliance requirements, and best practices.
• Foster a culture of compliance and ethical behaviour within the organization.

Reporting & Documentation:

• Maintain accurate and up-to-date compliance records and documentation.
• Prepare and submit periodic reports to senior management and regulatory bodies.
• Keep copies of compliance-related communications with regulatory authorities.

Stakeholder Management:

• Work closely with legal, risk, operations, and finance teams to ensure compliance with all applicable laws.
• Manage applicable relationships with external auditors, consultants, and regulatory agencies, where needed
• Address compliance-related queries from stakeholders and regulatory bodies.

Skill Set and Values

• Strong knowledge of SEC regulations and financial compliance standards.
• Excellent analytical and problem-solving skills.
• High attention to detail and accuracy in documentation.
• Strong organizational and communication skills.
• Ability to work independently and under pressure.
• Ethical mindset with strong integrity and confidentiality.
• Ability to build a team.

Experience and Qualifications

• A degree in Law, Finance, Accounting, or a related field.
• SEC sponsorship and prior experience in a compliance role.
• Minimum of 10 years of experience in regulatory compliance within the financial sector.
• Strong understanding of KYC, AML, and risk management principles.
• Experience working with regulatory bodies, particularly the SEC.
• Proficiency in compliance reporting.

Remuneration and Perks

• Competitive remuneration in line with industry benchmarks
• Health insurance
• Birthday allowance
• Work-from-home options
• Staff-only investment opportunities
• High degree of flexibility