Director of Legal and Compliance
Beyond International is a fast-growing multinational fintech company attracting foreign capital to US alternative investments and provides full-spectrum value-added services ranging from insurance to investment immigration enablements. We are looking for a Director of Legal Compliance and Business Operations passionate about driving innovation to make a meaningful difference for our investors and employees.
The ideal candidate should demonstrate successful prior FINRA regulation compliance experience with real estate investment funds or other alternative investment platforms, broker-dealers, investment advisers, asset managers, regulatory agencies or major consulting firms covering alternative asset manager compliance.
The position will be responsible for the legal and regulatory compliance programs across all business operations.
Provide focused leadership and guidance in structuring regulatory compliance programs in alternative investment and business operation Work with outside console and consultants to develop, implement and improve effective compliance policies, procedures and processes for all business operations across the platform Oversee legal and regulatory compliance risk assessment and auditing processes Deliver routine and specialized training on areas of custodianship Communicate with the executive team on regulatory changes Monitor potential deficiencies or violations of rules, regulations, policies, procedures or laws.
Communicate with outside legal, HR and financial partners to ensure business operations in US offices remain in total compliance Analyze and improve organizational processes, policies and administrative operations to improve productivity.
· 3+ years of prior experience at a law firm and/or investment management firm
· Prior experience in a compliance role and/or advanced legal degree required
· Understanding of the Advisers Act and FINRA regulations
· Must be able to commute to Irvine, CA
· Strong leadership, drafting, analytical, communication, and organizational skills
· Ability to work independently while remaining a strong team player
· Substantial initiative, creativity and drive
Medical, Dental, Vision, Life, AD&D, LTD, Legal, 401K (match), Gym Membership, Flex Time, Work/Life Balance, Great Location, Friendly Staff, and so much more.
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