Job vacancy Compliance & Risk Executive

Description of Main Duties:

• Oversee the Compliance & Risk Function of the Company in the absence of the Head of Compliance & Risk.
• Work closely with the Head of Compliance & Risk in carrying out the following main duties:
  • maintaining the Company’s overall compliance with the relevant regulatory framework.
  • monitoring and assessing the level of compliance risk, taking into account the services provided, as well as the financial instruments traded and distributed;
  • develop / implement corrective action plans for mitigating areas of compliance vulnerability;
  • managing day to day operations of the compliance risk assessment and monitoring program;
  • developing, designing and drafting of relevant compliance policies and procedures in a documented manner;
  • handling of client complaints and/or monitor the handling of client complaints by the relevant department;
  • monitor communication between clients and the various Company departments in line with the monitoring requirements of the relevant regulatory framework;
  • monitor the maintenance and practical implementation of policies and procedures by the relevant departments;
  • review the Company’s website and monitor all information, including marketing communications to clients.
• Keep abreast with new legislation and regulation updates, and report in summary form such updates to the Head of Compliance & Risk.
• Assist in the preparation of reports to Regulatory Authorities, the Head of Compliance & Risk and the Board of Directors and Management as appropriate.
• Assist in conducting internal compliance audits and ensuring compliance with internal policies, procedures and structures.
• Maintain close collaboration and communication with relevant authorities and other stakeholders.

Qualifications

Bachelor’s degree in one of the following:
Law, Business, Management, Banking, Finance, Accountancy.

Experience

One-year experience as part of a Compliance team and some knowledge or experience of the securities market.