Position Overview: We are seeking a highly skilled Senior Compliance Officer to join our team. In this role, you will be responsible for overseeing and enhancing our compliance framework, ensuring adherence to regulatory requirements, and fostering a culture of compliance throughout the organization. You will work closely with various departments to identify and mitigate compliance risks, while also serving as a key advisor on compliance-related matters.
Key Responsibilities:
- Develop, implement, and maintain compliance policies and procedures in line with regulatory requirements and industry best practices.
- Monitor and assess the firm’s compliance with relevant laws, regulations, and internal policies.
- Conduct regular compliance audits and risk assessments, and report findings to senior management.
- Provide guidance and training to employees on compliance issues, policies, and procedures.
- Collaborate with legal, trading, and operations teams to address compliance concerns and implement necessary improvements.
- Stay updated on changes in regulations and industry standards, ensuring the organization’s compliance program evolves accordingly.
- Serve as the primary point of contact for regulatory bodies and external auditors during compliance reviews and investigations.
- Investigate compliance breaches and implement corrective actions as needed.