Compliance Officer
$ 3,000 - $ 4,500 / month
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Job Description
- Review and investigate alerts generated by the market surveillance systems
- Provide support for the compliance function. Assist in the regulatory reporting, compliance risk assessment, compliance work plan to facilitate compliance with relevant legal and regulatory obligations.
- Escalate any potential irregularities to Head, Regulations and Compliance.
- Liaise with internal stakeholders and external parties
- Perform other duties assigned by the Head, Regulations and Compliance
Requirement:
- Around 2 to 5 years of relevant experience in a capital market services intermediary (including a brokerage or an exchange) or a financial services regulatory authority
- Understanding of trading on an exchange/organised market will be an asset.
Job Description
- Review and investigate alerts generated by the market surveillance systems
- Provide support for the compliance function. Assist in the regulatory reporting, compliance risk assessment, compliance work plan to facilitate compliance with relevant legal and regulatory obligations.
- Escalate any potential irregularities to Head, Regulations and Compliance.
- Liaise with internal stakeholders and external parties
- Perform other duties assigned by the Head, Regulations and Compliance
Requirement:
- Around 2 to 5 years of relevant experience in a capital market services intermediary (including a brokerage or an exchange) or a financial services regulatory authority
- Understanding of trading on an exchange/organised market will be an asset.