Senior Compliance Officer - Broking/Research Compliance

Senior Compliance Officer - Broking + Research Compliance

- Senior level (VP or SVP Level) compliance profiles

- The profile should have Equity + Research compliance experience and should have around 15 years of experience.

- Researching industry compliance regulations and policies.

- Evaluating internal operational and procedural compliance.

- Analyzing and updating existing compliance policies and related documentation.

- Communicating compliance policies and guidelines to Management and designated departments.

- Developing and executing new compliance policies and procedures as required.

- Applying for compliance certification and regulatory approval.

- Developing and maintaining a compliance recordkeeping system.

- Training employees on industry compliance requirements.

- Maintaining communication with compliance regulators and following up on applications.

- Keeping up with compliance requirements and amendments to regulations.