
Senior Compliance Officer
2 days ago
As a Senior Compliance Officer, you will play a pivotal role in ensuring the effective implementation of risk minimization, security, and control guidelines across our organization.
We are seeking a highly skilled professional to conduct onsite inspections of members and joint inspections with regulatory bodies in a timely manner.
The successful candidate will be responsible for creating compliance awareness amongst members by sharing best practices and mandatory requirements.
Key Responsibilities:
- Conduct thorough onsite inspections of members and joint inspections with regulatory bodies.
- Create and disseminate compliance awareness materials amongst members.
- Prepare and verify inspection reports, checklists, and submit data to the relevant authorities post-inspection.
- Visit and inspect authorized persons of members.
- Organize member compliance workshops and training sessions.
Required Skills and Qualifications
- Chartered Accountant or Cost and Works Accountant (CMA) qualification is required.
- A minimum of 5-8 years of total experience with 2-3 years of relevant work experience in broking, exchange, or financial institution operations is necessary.
- Proven expertise in audit procedures and a strong understanding of current accounting and audit principles is essential.
- Familiarity with the exchange ecosystem and operations is also required.
- Excellent written communication, attention to detail, analytical, investigating skills, time management, result orientation, process adherence, and orientation are must-haves.
Benefits
This role offers a challenging and rewarding career path for an experienced professional looking to make a meaningful impact in the field of compliance.
The ideal candidate will have a strong passion for compliance and a desire to contribute to the growth and success of our organization.
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