Officer, Central Compliance, Compliance
Core
Manage central compliance duties including licensing, regulatory inquiries, and staff trading monitoring for a securities firm.
Role type
Compliance Officer
Builds
Regulatory compliance and licensing frameworks
Domain
Financial Services / Securities Regulation
Deliverable
dashboards & analysis
Required skills
Regulatory notifications handling, Licensing administration, Staff trading monitoring, Compliance declarations, Internal record maintenance, Process improvement, Auditor liaison
Preferred skills
Experience with local regulators, Compliance testing or internal audit background
Technologies
SFC declaration systems, Staff dealing systems, MS Office
Responsibilities
Handle regulatory notifications and SFC inquiries, Process licensing matters and annual returns, Review staff outside accounts and clear alerts, Maintain compliance records and training logs, Assist with system development and process enhancements, Support internal and external auditors
Seniority
Junior to Mid-level IC