Compliance Officer, Financial Institution

about the company

Our client is a CMS-Licensed Financial Institution seeking a Compliance Officer to join their diversified team.

about the job

• Assist in managing the control room framework, enforcing information barriers and restricting confidential data flow.

• Oversee watch and restricted lists, manage wall-crossing procedures, handle deal reviews, and evaluate potential conflicts of interest.

• Conduct compliance surveillance across personal trading and communications to actively detect and prevent market abuse.

• Assist in client onboarding and periodic due diligence reviews in strict adherence to regulatory standards and internal risk rating methodologies.

• Provide strategic advisory to management while updating compliance rules, policies, and operational manuals to align with head office standards.

skills and experience required

• Minimum 5 years of relevant experience in control room compliance
• Expertise in managing information barriers, wall-crossing protocols, and monitoring for insider trading or market abuse.
• Solid practical knowledge of capital markets regulations, anti-money laundering standards, and background screening frameworks.
• Excellent critical thinking skills with high precision in evaluating complex client risks and data integrity.

To apply online please use the apply function, alternatively you may contact at .
(EA: 94C3609/ )