
Expert Regulatory Compliance Officer
3 days ago
Senior Compliance Specialist
Job Description:We are seeking a seasoned professional to lead our compliance efforts. As a senior compliance specialist, you will play a critical role in ensuring our trading activities and internal practices align with regulatory standards and company policies.
This position requires someone with exceptional analytical skills, attention to detail, and the ability to collaborate across departments to maintain high standards of corporate governance and ethics.
You will be responsible for conducting thorough reviews of employee trading activities, ensuring strict adherence to regulatory requirements, watchlists, and restricted lists.
Maintaining employee trading accounts and ensuring accurate and timely reporting of transactions is also a key responsibility.
In addition, you will perform detailed analyses of statements from non-approved brokers, verifying compliance with our code of ethics and trading regulations.
This is a challenging yet rewarding role that requires a deep understanding of financial products and compliance best practices.
Required Skills and Qualifications:- Bachelor's degree in commerce, finance, accounting, business, law, or a related field.
- Minimum of 5+ years of experience in compliance, regulatory affairs, or a related field, preferably within the financial services industry.
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