Job
Core
Prepare regulatory filings, monitor compliance risks, investigate breaches and complaints, and draft specifications for new business initiatives.
Role type
Compliance Operations Officer
Builds
Regulatory compliance frameworks and complaint handling processes for a multi-asset broker
Domain
Financial services / Regulatory compliance (via careerplan.io/jobs/34138-job)
Deliverable
client delivery
Required skills
Regulatory research, gap analysis, investigation of breaches, complaint handling, policy design, report writing
Preferred skills
Experience in multi-regulated investment firms, ability to analyze complex processes
Technologies
N/A
Responsibilities
Prepare and submit regulatory filings and reports; Monitor compliance risks related to investment services; Investigate compliance breaches and write investigation reports; Receive, log, and investigate client complaints; Draft regulatory specifications for new products; Maintain accurate complaint records and report trends to senior management
Seniority
Mid-level, hands-on IC