Senior Compliance Officer

Brief Summary

We are seeking a detail-oriented Senior Compliance Officer to lead compliance initiatives and ensure adherence to regulatory frameworks. The ideal candidate will play a pivotal role in managing compliance and fostering a robust compliance culture within the organization.

Responsibilities

1. Oversee and implement the compliance framework in alignment with regulatory requirements.
2. Serve as the primary liaison with regulatory authorities regarding compliance matters and submissions.
3. Conduct compliance monitoring and risk assessments recommend corrective actions as necessary.
4. Develop and implement internal compliance policies and procedures.
5. Review new business initiatives, products, and transactions for compliance feasibility.
6. Oversee Anti-Money Laundering (AML), Counter Financing of Terrorism (CFT), Know Your Customer (KYC), and other compliance controls.
7. Provide compliance training to staff and promote a culture of compliance across the organization.
8. Prepare detailed compliance reports for management and support regulatory audits.

Requirements

1. Bachelor's Degree in Law, Finance, Accounting, Business, Economics, or a related field.
2. At least 10 years of experience in compliance within the financial services sector, such as securities firms or investment banks.
3. Proven track record of engaging with regulatory authorities on compliance matters.
4. Demonstrated experience in the application and maintenance of Capital Markets Services Licences.
5. Hands-on knowledge of dealing with capital markets products, advising on corporate finance, and fund management activities.