Our client is a CySEC regulated investment firm that provides innovative investment and financial services to, amongst others, high-net-worth professional traders and institutions. We're currently seeking a dynamic and motivated individual to fill the role of the Senior Compliance Officer, overseeing a diverse range of compliance-related tasks and working closely with Senior Management.
Job Summary:
As the Senior Compliance Officer, you'll be responsible for ensuring that our firm is always up-to-date with regulatory requirements and guidelines. You'll also work closely with the Legal Department and compliance team to review, draft, and negotiate legal agreements and documents. In this role, you'll report directly to the Senior Management team.
Key Responsibilities / Duties:
- Keep up-to-date with regulatory requirements and guidelines, advise on necessary actions to be taken and assist with updating the company’s policies and procedures with applicable laws to ensure continued compliance;
- Oversee the onboarding of clients, ensuring proper monitoring of client transactions and activities, and handling client complaints;
- Review, approve, and monitor company marketing communication for compliance with regulations;
- Prepare and submit regulatory compliance reports on time;
- Review, draft, and negotiate legal agreements and other documents in cooperation with the Legal Department and the Compliance Department;
- Be responsible for any organizational requirements of the firm;
- Liaise with internal/external auditors and CySEC on any compliance related matters;
- Take part in the regulatory and compliance related discussions internally and externally;
- Assist in the compliance risk assessment process ensuring that all compliance risks are appropriately identified, assessed, reported and monitored;
- Assist in the development and implementation of a risk-based compliance monitoring program;
- Closely cooperate with Company’s AML officer (“AMLCO”) to ensure full compliance with all applicable regulations;
- Provide support to the AMLCO to develop, maintain and update of compliance and AML manuals, policies, procedures and controls and ensure their compliance with the relevant laws and regulations;
- Provide support to the AMLCO to identify, examine suspicious activities related to money laundering and terrorist financing;
- Maintain a good understanding of the relevant regulatory requirements and provide advice and guidance to the various departments;
- Conduct reviews/audits of departments, key business and other processes and activities to ensure the continued adherence to and effective implementation of policies, procedures and regulations;
- Provide training to employees on compliance-related matters, including internal policies and procedures, the application of guidelines and standards and relevant regulatory requirements, promoting and enhancing a strong company-wide compliance culture;
- Managing regulatory communications and any other ad-hoc tasks as may requested by the Senior Management;
- Report directly to and provide advice and guidance to the Senior Management team.
Work Experience / Knowledge:
- At least 3+ years of relevant experience in Compliance within the Financial industry or other related field;
- Previous exposure with CySEC regulated investment firms will be considered as an advantage;
- Excellent command of the English language, written and oral;
- Experience developing and implementing compliance programs.
Education:
- University and/or postgraduate degree in Law, Finance or other relevant field;
- CySEC Advanced Certification is a must;
- CySEC AML Certification will be considered as an advantage.
Skills / Other Personal Attributes Required:
- Able to perform under pressure;
- Attention to detail and ability to meet tight deadlines;
- Strong collaboration skills but also able to work independently;
- Ability to maintain good working relationships and networks with service providers, external legal advisors, and government bodies;
- Must be able to adapt to working in a fast-paced environment;
- Excellent verbal and written communication skills;
- Strong organization skills and attention to detail;
- Proficient in Microsoft Office Suite (Word, Excel, Project, PowerPoint).
Benefits:
- Competitive Remuneration Package.
- Exclusive Discount Card on company products or services.
- 21 day’s annual leave.
- Be part of a dynamic and creative team with a positive and friendly atmosphere.
- Chance to build a successful career and professional growth within the firm.
- Company-sponsored social events and team building activities
