Address
Form of work
SalaryThis newly created role will give you the opportunity to:
- Build the compliance operations, including the selection of relevant vendors and creation of appropriate policies and processes;
- Conduct reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements;
- Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations;
- Determine the root cause of issues and develop effective remediation plans to mitigate the risks;
- Drive implementation of local regulatory change/remediation projects and initiatives.
What they require:
- 7+ years of industry experience within institutional broker-dealer activities;
- Previous experience with a broker is required;
- Previous experience of being an SMF16 officer (Compliance oversight) and SMF17 officer (MLRO) is preferred;
- Prior experience within the securities financing industry is a plus;
- Strong analytical, writing, and presentation skills;
- Highly motivated, proactive individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change;
- Strong attention to detail, balanced with a strong focus on execution and results;
- Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting;
- Excellent communication skills.
