Junior Compliance Officer

Job Description:

• Minimum experience of 2 years in banking or financial services, handling Audit/Finance/Compliance/ Legal/Operations/Risk Management functions
• Develop and maintain the firm's compliance program, including policies, procedures, and controls to ensure compliance with all applicable laws, regulations, and industry standards.
• Conduct regular compliance risk assessments to identify potential areas of non-compliance and develop appropriate strategies to mitigate these risks.
• Monitor changes in regulatory requirements and industry trends and provide guidance to the firm's management and staff on compliance matters.
• Develop and deliver compliance training programs to educate staff on their responsibilities and obligations under relevant laws and regulations.
• Ensure that the firm's compliance program is effectively communicated to all staff, and that the firm's management and staff are aware of their obligations and responsibilities.
• Develop and maintain effective relationships with regulatory authorities and other relevant stakeholders.
• Conduct investigations of compliance incidents and work with the firm's management to develop appropriate remedial actions.
• Produce reports on compliance issues, including regulatory filings, management reports, and other documentation as required.

Key Skills :

Compliance

Audit

Company Profile

The Client is a leading quantitative-driven electronic market-maker partnering with counterparties, exchanges and e-trading venues globally to provide liquidity in the Equity, FX, Fixed Income and Commodity -. The provide consistent liquidity, helping market participants throughout the world obtain the best prices in the various assets classes we cover, regardless of changing market conditions.