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HR at Peoplenomic Consulting Firm
Views:278 Applications:53 Rec. Actions:Recruiter Actions:26
Senior Compliance Officer - Broking/Research Compliance (5-15 yrs)
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.
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