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Junior Compliance Officer
3 months ago
Job Description:
Minimum experience of 2 years in banking or financial services, handling Audit/Finance/Compliance/ Legal/Operations/Risk Management functions Develop and maintain the firm's compliance program, including policies, procedures, and controls to ensure compliance with all applicable laws, regulations, and industry standards. Conduct regular compliance risk assessments to identify potential areas of non-compliance and develop appropriate strategies to mitigate these risks. Monitor changes in regulatory requirements and industry trends and provide guidance to the firm's management and staff on compliance matters. Develop and deliver compliance training programs to educate staff on their responsibilities and obligations under relevant laws and regulations. Ensure that the firm's compliance program is effectively communicated to all staff, and that the firm's management and staff are aware of their obligations and responsibilities. Develop and maintain effective relationships with regulatory authorities and other relevant stakeholders. Conduct investigations of compliance incidents and work with the firm's management to develop appropriate remedial actions. Produce reports on compliance issues, including regulatory filings, management reports, and other documentation as required.Key Skills :
Audit