
Regulatory Compliance Expert
7 days ago
A seasoned Compliance Specialist is needed to drive regulatory compliance across a dynamic trading platform.
The ideal candidate will possess 3-5 years of experience in asset or wealth management, with in-depth knowledge of trading systems, custody operations, KYC/AML, and investment advisory regulations.
About the Position- Ensure adherence to regulatory frameworks and internal policies
- Oversee audits, licensing, and regulatory reporting processes
- Conduct risk assessments on products and third-party vendors
- Manage incidents and develop compliance training programs
- Stay up-to-date on evolving regulatory requirements
- Bachelor's degree in Law, Finance, Business, or a related field; JD, CAMS, or other relevant certifications highly valued
- Demonstrated excellence in verbal and written communication skills, with the ability to distill complex regulatory concepts
- Proven ability to mitigate risks in fast-paced, tech-driven environments
Key Responsibilities:
- Crafting and implementing effective compliance strategies
- Maintaining relationships with regulatory bodies and industry stakeholders
- Identifying and addressing compliance gaps and risks
- Developing and delivering comprehensive training programs
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