Compliance Officer

WE ARE HIRING : Compliance Officer


Working hours 7.00 AM - 4.00 PM (SL Time)

Working days Monday-Friday (Inclusive of Poya & Public holidays)

Working pattern:  Hybrid

Salary range Open for discussion


Position Overview:

We are seeking a Compliance Officer with experience in paraplanning or as an Associate Advisor to join our compliance team. This role will involve overseeing compliance activities while leveraging your financial planning knowledge to support and enhance our advisory services. The ideal candidate will possess a strong understanding of regulatory requirements and a practical background in financial planning and advisory services.


Key Responsibilities:

• Conduct regular compliance audits and reviews to identify and address potential issues.
• Provide guidance and support to advisors and staff on compliance-related matters.
• Prepare and submit regulatory filings and reports as required.
• Collaborate with advisors and the leadership team to comply with regulatory and company policies.
• Provide insights and recommendations to improve client service and advisory processes.
• Stay current with industry trends, regulatory changes, and best practices in compliance and financial planning.
  

Qualifications:

• Bachelor's degree in Business Administration or related field.
• Minimum of 1 year of experience in a compliance role, with additional experience in paraplanning or as an Associate Advisor.
• Strong understanding of financial planning principles, investment products, and regulatory requirements.
• Excellent analytical, organizational, and communication skills.
• Ability to work independently and collaboratively within a team environment.
• High level of integrity and attention to detail.
• Ability to handle pressure and multitask.
  

Additional Information:

• Flexible working arrangements.
• This is a full-time position.
• Competitive salary and benefits package.

Ready to take your career to new heights?

We're InTalent Asia, your go-to recruitment partner in Sri Lanka, and we've got an exciting opportunity for you! Our client is looking for a dynamic individual to fill the role of Compliance Officer

At InTalent Asia, we're not just recruiters; we're here to architect your career success. Join us in the journey of matching your skills with unparalleled opportunities.

Apply now and see how you can be the perfect fit for this exclusive position!

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