Compliance Manager
5 days ago
The Compliance Officer is responsible for ensuring that the company's activities comply with regulatory requirements and company policies. This includes reviewing and updating policies and procedures, conducting audits and investigations, and providing training and education to employees.
Key Responsibilities: Regulatory Compliance: Stay abreast of all applicable laws, regulations, and guidelines issued by relevant regulatory authorities and ensure the company's activities align with these requirements.
Trade Surveillance: Detect and prevent market abuse, insider trading, and other fraudulent activities in compliance with regulatory expectations through the company's trade surveillance systems. Review daily and monthly alerts from internal surveillance system, conduct investigations on compliance and red flags, and report suspicious cases. Assist in analyzing, maintaining, and improving rule settings of the trade surveillance program to ensure effectiveness and reliability against market dynamics.
AML/CFT Compliance: Follow the company's AML/CFT policies and procedures, including customer due diligence (CDD) and Know Your Customer (KYC) processes, to mitigate the risk of money laundering and terrorist financing. Assist in performing AML checking and ongoing monitoring for new and existing accounts.
Reporting and Documentation: Prepare and submit regular compliance reports, highlighting any identified compliance issues and recommended remedial actions. Maintain accurate and up-to-date compliance documentation. Handle regulatory reporting and inquiries with the relevant exchanges and regulators.
Training and Education: Provide compliance training and awareness programs to employees to foster a culture of compliance throughout the organization.
Regulatory Liaison: Assist and participate in regulatory inspections and audits. Manage internal and external audits, inspections, and investigations from auditors, Exchanges, and Regulators.
Internal Controls: Collaborate with internal stakeholders to implement and improve internal controls that promote compliance with regulatory requirements and company policies.
Incident Management: Investigate and manage any compliance-related incidents, taking appropriate corrective actions and reporting incidents as required.
Other Ad-Hoc Tasks: As per assigned from time to time, including ad-hoc projects and assignments related to compliance.
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