Compliance Officer

Fully remote position
- Report directly to CEO in company of 450 people
- Global Company

**ABOUT THE COMPANY**
We are equity research and media business firm that provides our subscribers with analyses of listed companies and other securities. Our key goal is to provide investment ideas to clients that enable them to navigate and achieve success in complex markets. We are a strong and driven team of around five hundred people with offices in India, Australia, UK, New Zealand, Canada, and the US. The securities markets in those countries and their movements are our
- raison d’etre_.. Our subscribers can be generally described as investors who seek deeper analyses to assist them to make decisions on whether to buy, sell or hold.

**ABOUT THE POSITION- WORK FROM HOME OPPORTUNITY**
As the Compliance Officer, you will be charged with building and fostering a culture of compliance across our business operations. Underpinning the compliance-focused culture you will lead, must be a rigorous framework of standards and processes that positions our subscribers first and foremost. You will be pivotal in providing compliance advice, compliance framework guidance, and practical solutions to the CEO, leadership team and various other departments.

We see your role as facilitating our growth in a sustainable and client-focused manner.

**You will be responsible for company's overall compliance, related regulatory supervision, and advising on relevant business risks and plan of action inclusive of risk mitigation.**

**YOUR JOB RESPONSIBILITIES**:

- Foster and maintain a strong, business-wide, client first compliance culture
- Provide clear, concise, consistent, constructive and client focused advice to the business
- Develop, execute, and supervise the company’s compliance program(s), designed specifically for its business activities and market(s) of operations and related risk factors, in adherence with relevant laws, regulations, rules, guidance and ethical conduct.
- Effectively ensure implementation and administration of the compliance program(s); and appropriate supervision on related policies, processes/ procedures, controls/ systems, operations, personnel, training, and reporting.
- Ensure appropriate flow of communication and maintenance of compliance policies, processes/ procedures etc., as applicable and in line with the above aspects
- Organise and attend regular Compliance Committee Meetings including preparation of reports, minutes, agenda, and actions
- Monitor and update changes to legal and regulatory compliance requirements related to the finance/ fintech, digital technology, securities (including equity) industry (industries)
- File and track documents, developed for relevant regulatory bodies in view of any statutory and non-statutory requirements or others, as applicable
- Keep yourself apprised of and ensure adherence to all legislation pertaining to the company’s business
- Design, implement, monitor, update and streamline compliance associated Risk management procedures in a timely manner
- Conduct compliance training and awareness sessions for relevant employees across group companies
- Register and monitor authorised representatives' activities
- Develop appropriate responses to audits/ examinations involving compliance-related aspects and respective delivery of information; and periodically report risk exposure, and emerging issues to the CEO and Board of Directors
- Assess products, services, digital mediums, and marketing efforts to identify any compliance-related issues and propose solutions to mitigate the issues
- Analyse company structure, group entity association, and shared operating models to identify regulatory risks, compliance issues, and/or associated conflicts of interest

**Essential Requirements and Skills**
- Minimum 5 years’ experience in a similar role
- Corporate law and financial services background
- Knowledge of Managed Investments Scheme documentation (registered and unregistered schemes)
- Experience working in a compliance role, preferably within the financial services industry with working knowledge of the ASIC Act and related obligations related to AFSL maintenance.
- Demonstrated knowledge and ability to provide compliance advice
- Experience in implementing significant compliance initiatives
- Applied understanding of current legislation, the impact of non-compliance and Risk & Compliance practices
- Excellent interpersonal skills with the ability to build effective and collaborative relationships with both internal and external stakeholders