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Compliance Specialist
1 week ago
about the company
Randstad is partnering up with a leading global capital market and investment company. They are looking for compliance specialist to join their expanding team.
about the job
PRIMARY RESPONSIBILITIES:
This role will support the Senior Manager of Regulatory Compliance in overseeing regulatory compliance for the organization.
Regulatory Oversight:
Conducting ongoing monitoring and surveillance activities to ensure compliance with regulatory requirements.Utilizing advanced trade surveillance tools and data analysis techniques for monitoring trade activities.Supervising staff activities to ensure adherence to internal policies, including staff dealing and conflicts of interest.Oversight of staff external engagements and fly-in-fly-out activities.Performing compliance desk reviews and thematic reviews as necessary to address emerging risks. Licensing and Registration: Assisting in the licensing and registration process for new staff.Monitoring existing representatives' compliance with continuing obligations.Coordinating with internal stakeholders to fulfill regulatory surveys and requests.Supporting the preparation of regulatory reports. Compliance Training and Communication: Conducting compliance induction training for new hires.Reminding staff to complete mandatory compliance training.Assisting with compliance reporting to local and group management. Regulatory Advisory: Providing support to internal queries on licensing requirements and compliance policies.Monitoring regulatory changes and assisting with audits.Reviewing and updating local compliance policies as needed. REQUIRED SKILLS: Strong analytical and logical reasoning abilities.Effective interpersonal and communication skills.Proficient in Microsoft Office Applications for data collection and analysis.Familiarity with compliance principles and risk-based approaches.Understanding of relevant securities regulations and market rules. QUALIFICATIONS: Minimum 3 years of experience in compliance, audit, or regulatory roles within the financial services sector. about the manager/teamThis role report to the senior compliance manager.
skills no additional skills required
qualifications no additional qualifications required
education Bachelor Degree
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