We are working with a leading financial services firm specializing in investment management and wealth advisory services. We are committed to delivering exceptional value and personalized solutions to our clients worldwide. Our team is dedicated to maintaining the highest standards of integrity, professionalism, and compliance in all aspects of our operations.

Position Overview:

We are seeking a highly skilled and motivated Compliance Officer. The Compliance Officer will play a critical role in ensuring that the firm adheres to regulatory requirements, industry standards, and internal policies. The ideal candidate will possess a strong understanding of financial regulations, exceptional attention to detail, and the ability to effectively communicate and collaborate with various stakeholders.

Responsibilities:

Develop, implement, and maintain compliance policies and procedures in accordance with regulatory requirements and best practices. Conduct regular compliance risk assessments and reviews to identify areas of potential risk and non-compliance. Monitor and analyze regulatory developments and changes to ensure ongoing compliance with relevant laws and regulations. Collaborate with internal teams to provide guidance and support on compliance-related matters, including new product launches, business initiatives, and client interactions. Conduct internal audits and reviews to assess the effectiveness of compliance controls and procedures. Investigate and respond to compliance-related inquiries, incidents, and issues in a timely and efficient manner. Provide compliance training and education to employees to promote awareness and understanding of regulatory requirements and internal policies. Serve as the primary point of contact for regulatory agencies and external auditors during examinations and inquiries.

Applying for: Compliance Analyst