Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program.
This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's reputation and mitigating compliance risks.
Key Responsibilities :
- Regulatory Compliance : Ensure the firm complies with all applicable Client and SEC regulations, including reporting and disclosure obligations.
- Policy Development : Develop, implement, and maintain compliance policies and procedures tailored to the broker-dealer environment.
- Risk Assessment : Conduct regular risk assessments and compliance audits to identify and mitigate potential compliance risks.
- Training and Education : Design and deliver compliance training programs for employees to promote a culture of compliance and awareness of regulatory requirements.
- Monitoring and Reporting : Oversee monitoring activities and prepare reports for senior management and regulatory authorities as needed.
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