About the job Compliance officer
Compliance Officer
Our company is searching for a motivated and experienced individual that would ensure our business processes and transactions follow all relevant legal and internal guidelines. Your duties will include reviewing employee work, developing company policies, and responding to policy violations.
The ideal candidate will be professional, highly analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and our industry's principles.
Responsibilities:
Implement and manage an effective legal compliance program.
Develop and review company policies.
Advise management on the company's compliance with laws and regulations through detailed reports.
Create and manage effective action plans in response to audit discoveries and compliance violations.
Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
Assess company operations to determine compliance risk.
Ensure all employees are educated on the latest regulations and processes.
Resolve employee concerns about legal compliance.
Liaising with all relevant business and supporting areas within the group
Providing assistance in the monitoring of the adequacy and effectiveness of the measures and procedures of the Company.
Advising and assisting the relevant persons responsible for carrying out the investment services to be in compliance with the Law.
Monitoring of legal and regulatory developments and assess their impact on the compliance of the firm's ongoing business processes.
Review, amend and approve marketing communications of the firm with regards to compliance
Providing assistance to maintain and update internal policies and procedures of the firm, in order to be in line with regulatory requirements.
Providing guidance to maintenance of records of internal approvals, personal trading statements, communications with authorities etc.
Ensure all employees & team members are educated on the latest regulations and processes and provide guidance to develop and deliver training on compliance issues to the firm's personnel.
Assist with development of annual employee training programs on AML issues.
Prepare and submit Annual Compliance and AML Reports
Requirements:
Bachelor's degree in law, finance, business management or a related field.
3 – 5 years' proven experience in a compliance officer role.
Good knowledge of legal requirements and procedures.
Brilliant oral and written communication skills.
Highly analytical with strong attention to detail.