Compliance Officer
Core
Shape the Compliance function through innovation, analytical thinking, and process improvement while serving as the face of the team internally and externally.
Role type
Compliance Officer (Financial Services)
Builds
Robust compliance policies, surveillance programs, and regulatory response narratives.
Domain
Financial Markets / Securities Regulation
Deliverable
dashboards & analysis
Required skills
Regulatory review, surveillance, AML due diligence, stakeholder management, regulatory reporting, compliance innovation, data gathering, analysis
Preferred skills
Broker-dealer regulation knowledge, programming languages, database administration, network architecture, trading/back-office experience
Responsibilities
Develop sustainable program enhancements, conduct surveillance and supervisory reviews, respond to regulator and exchange inquiries, perform regulatory review and reporting, propose compliance innovation initiatives, communicate with regulators and external parties