About the Role
We are looking for a detail-oriented Compliance Analyst to join our dynamic team in the financial sector. In this role, you will support the development and monitoring of our compliance framework, ensuring all business activities align with applicable laws, regulatory requirements, and internal policies.
Key Responsibilities- Monitor firm activities to ensure strict compliance with SEC regulations, stock exchange rules, and relevant laws.
- Conduct periodic compliance reviews, risk assessments, and trade surveillance for potential market abuse.
- Ensure robust adherence to Anti-Money Laundering (AML), Combating the Financing of Terrorism (CFT), and KYC frameworks.
- Review and update internal policies to reflect industry best practices and regulatory changes.
- Prepare and submit accurate regulatory reports to the SEC and other relevant authorities.
- Assist in delivering engaging compliance training and awareness programs across business units.
- Bachelor's Degree in Law, Finance, Accounting, Economics, or a related discipline (Master's is an advantage).
- Mandatory SEC Sponsored status.
- Minimum of 3 to 5 years of relevant compliance experience within a stockbroking or securities trading environment.
- Professional certifications such as ACS, ACAMS, ICA, or CRCM.
- Deep understanding of capital market regulations, AML/CFT standards, and risk management.
- Competitive salary and performance-based bonuses.
- Comprehensive health insurance coverage for employee and dependents.
- Opportunities for professional development and continuous learning.
- A collaborative and growth-oriented work environment.