Compliance Officer - 1386441 Jobs

Compliance Officer

Our company is searching for a motivated and experienced compliance officer to guarantee that our business processes and transactions follow all relevant legal and internal guidelines. Your duties will include reviewing employee work, developing company policies, and responding to policy violations.

The ideal candidate will be professional, highly-analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and our industry’s principles.

Responsibilities:

• Resolve employee concerns about legal compliance.
• Implement and manage an effective legal compliance program.
• Advise management on the company’s compliance with laws and regulations through detailed reports.
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Ensure all employees are educated on the latest regulations and processes.
• Assess company operations to determine compliance risk.
• Develop and review company policies.

Requirements:

• Ability to multi-task with minimal supervision.
• Highly-analytical with strong attention to detail.
• If no registrations, will consider a member in good standing of the bar of any U.S. state or the District of Columbia.
• Good knowledge of legal requirements and procedures.
• Experience in a compliance testing or audit role is strongly preferred.
• Ability to work in a small-team environment as well as independently.
• Audit Certification preferred.
• 7+ years’ proven experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM.
• Bachelor’s degree in law, finance, business management, or a related field.
• Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration)
• Brilliant oral and written communication skills.
• Experience with Atlassian Confluence/JIRA preferred.
• Managerial experience preferred.
• Excellent degree of comfort and fluency with technology and computers.