Legal & Compliance

Our Approach

Compliance at Valureon Global is embedded in process and culture. Policies map to controls, controls map to monitoring, and monitoring informs continuous improvement. The function partners with the business to protect clients, the firm, and our reputation.

Program Pillars

• Governance & Oversight. Board-approved charters, committee structure, documented mandates, and periodic reporting.
• Risk Identification & Mitigation. Forward-looking assessments, control design, and remediation tracking across all activities.
• Monitoring & Testing. Risk-based reviews of key controls with evidence capture, findings management, and closure SLAs.
• Policy Management. Versioned policies mapped to processes, training, attestations, and regional addenda.
• Transparent Communication. Plain-language notices, escalation routes, and disclosures tailored to audience and region.

Coverage Model (Americas · EMEA · APAC)

We operate a global program with regional accountability. Local compliance leads ensure jurisdictional alignment while maintaining one Valureon standard worldwide. Matters are escalated through defined paths to Legal, the Chief Compliance Officer, and Board committees as appropriate.

Governance & Oversight

• Compliance Committee, Risk Committee, and Product & Disclosures Forum with scheduled cadences
• Issue escalation, root-cause reviews, and action-plan tracking with owners and due dates
• Quarterly reporting to senior leadership and periodic Board updates

Risk Identification & Mitigation

• Regulatory horizon scanning and change management
• Control design across investment, operations, technology, marketing, finance, and third-party risk
• Conflicts identification and management (information barriers, independent review, recusal)

Monitoring, Testing & Assurance

• Risk-based surveillance and thematic reviews with evidence logs
• Testing of customer diligence, marketing approvals, personal account dealing, and change governance
• Findings classification, remediation verification, and lessons-learned loops

Domain Coverage

• Compliance Solutions. Process improvements and technology enablement to scale controls and reduce regulatory/reputational risk.
• Country Compliance. Local coverage to meet jurisdictional obligations while upholding global standards.
• Enterprise Compliance. Employee conduct, gifts & entertainment, outside interests, global privacy, policy management, training, and reporting.
• Financial Crime. KYC/CDD/EDD, AML transaction monitoring, sanctions screening, anti-bribery & corruption, fraud prevention, and investigations.
• Investment Advisory. Regulatory advice on policies, procedures, product governance, and disclosure quality.
• Marketing & Distribution. Pre-clearance of materials and guidance on permissible sales and communications practices.
• Regulatory Engagement & Development. Relationship management with regulators and implementation of rule changes.
• Surveillance & Regulatory Data Analytics. Scenario-based surveillance, alerts tuning, and metrics to evidence control effectiveness.

Privacy & Data Protection

We apply privacy-by-design practices and maintain regional addenda (e.g., UK/EU GDPR). Data handling covers access control, encryption, retention, cross-border transfers, vendor due diligence, data subject rights, and incident response.

Code of Conduct & Training

• Mandatory onboarding and annual refreshers with attestations
• Targeted modules for high-risk roles (financial crime, market conduct, data protection)
• Certification of key policies and acknowledgement of role-specific responsibilities

Third-Party & Outsourcing Oversight

Service providers undergo due diligence covering financial soundness, control environment, security posture, and regulatory standing. Ongoing monitoring addresses performance, incidents, and remediation. Exit plans safeguard client continuity.

Speak-Up & Investigations

Colleagues and partners may raise concerns confidentially through Compliance, HR, Legal, or an independent channel. Good-faith reports are protected from retaliation and investigated promptly with documented outcomes.

Client & Public Disclosures

We communicate in clear, balanced terms. Materials include methodology notes where relevant and outline impacts, effective dates, and contacts. Substantive corrections are timestamped and redistributed through the same channels as the original notice.

Careers: Roles & Locations

Positions are available across the Americas, EMEA, and APAC. We welcome candidates who combine regulatory literacy with operational pragmatism and a client-first mindset.

Analyst—What You Will Do

• Partner with cross-functional teams on profile projects that improve controls and client experience
• Support monitoring/testing, policy refreshes, and regulatory change implementation
• Contribute to process automation and scalable documentation practices

Capabilities We Value

• Critical thinking and structured analysis
• Project management and clear written/oral communication
• Working knowledge of data tools or basic programming is a plus
• Integrity, judgement, and attention to detail

Learning & Development

You will balance multiple priorities while learning the firm, fostering diverse perspectives, and deepening your understanding of financial services. Rotations, mentoring, and on-the-job training support progression.

Equal Opportunity & Accessibility

Valureon Global is an equal opportunity employer. We evaluate qualified applicants without regard to legally protected characteristics and provide reasonable accommodations through the recruitment process and employment lifecycle. To request an accommodation, contact [email protected].

Contacts

• General Compliance. [email protected]
• Legal. [email protected]
• Privacy. [email protected]
• Speak-Up. Independent channel details available on the employee portal and onboarding materials

Important Information

This page provides a high-level overview of Valureon Global’s Legal & Compliance program. It does not modify or replace binding policies, client agreements, or regulatory requirements. Availability of services varies by jurisdiction and client type.