Competitive compensation pyckage; bonus plan inclu...
Hybrid
Deep knowledge of investment advisors act of 1940
Strong expertise in finra rules
Experience leading compliance teams
The role involves providing leadership and oversight for compliance activities across the United States and Asia Pacific, including SEC, FINRA, SFC, and ASIC regulations
Job Summary
The role involves providing leadership and oversight for compliance activities across the United States and Asia Pacific, including SEC, FINRA, SFC, and ASIC regulations.
American Century Investments directs 40% of its dividends annually to the Stowers Institute for Medical Research to support breakthrough work against life-threatening diseases.
The position offers a competitive compensation package with a bonus plan, generous PTO, and a 401k match plus annual performance-based discretionary contributions.
Matching Summary
The role involves providing leadership and oversight for compliance activities across the United States and Asia Pacific, including SEC, FINRA, SFC, and ASIC regulations.
Salary
Competitive compensation package; Bonus plan included; Tuition reimbursement and 401k with 5% company match
Skills & Requirements
Must-have
Deep knowledge of Investment Advisors Act of 1940
Strong expertise in FINRA Rules
Experience leading compliance teams
Ability to draft legal and business documents
7 or more years financial industry experience
Nice-to-have
Familiarity with Hong Kong SFC regulations
Familiarity with Australian ASIC regulations
Experience with AI and emerging technology risks
Proven skills in negotiating and influencing
Demonstrated curiosity and adaptability
Key Requirements
Bachelor's degree in related field
7+ years related financial industry experience
S7, S24, or S65 license preferred
Authorized to work in U.S. without sponsorship
Work Rights
Must be authorized to work in the U.S. without visa sponsorship