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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.