Job Description

Job Summary: The Stock Broking Compliance Officer is responsible for ensuring that the stock broking operations adhere to all regulatory requirements and internal policies. This role involves monitoring and enforcing compliance procedures, conducting audits, and providing guidance on compliance matters to mitigate risks and safeguard the firm's integrity and reputation.

Key Responsibilities:

• Regulatory Compliance:
• Ensure the company's operations comply with all applicable laws, regulations, and industry standards.
• Stay updated on changes in regulatory requirements and implement necessary adjustments to company policies and procedures.
• Prepare and submit regulatory reports and filings accurately and on time.
• Policy Development and Implementation:
• Develop, update, and enforce compliance policies and procedures to ensure adherence to regulatory standards.
• Conduct regular training sessions for staff on compliance-related topics and new regulatory developments.
• Provide guidance and support to management and employees on compliance matters.
• Monitoring and Auditing:
• Conduct periodic audits and reviews of the firm's operations to ensure compliance with internal policies and regulatory requirements.
• Identify and assess compliance risks and implement appropriate controls to mitigate them.
• Investigate any compliance breaches or violations and take corrective action as necessary.
• Risk Management:
• Implement and maintain effective compliance risk management frameworks.
• Conduct risk assessments and develop strategies to manage and mitigate identified risks.
• Collaborate with other departments to ensure a cohesive approach to risk management.
• Reporting and Documentation:
• Maintain accurate and up-to-date records of all compliance activities and audits.
• Prepare and present regular compliance reports to senior management and the board of directors.
• Document and report any incidents of non-compliance and the actions taken to address them.
• Liaison and Communication:
• Serve as the primary point of contact for regulatory bodies and external auditors.
• Foster strong relationships with regulatory authorities and industry associations.
• Communicate compliance requirements and expectations to employees and management clearly and effectively.

Qualifications:

• Bachelor's degree in Finance, Law, Business Administration, or a related field. Relevant professional certifications (e.g., Certified Compliance and Ethics Professional (CCEP), Certified Anti-Money Laundering Specialist (CAMS)) are preferred.
• Proven experience in a compliance role within the financial services or stock broking industry.
• In-depth knowledge of securities regulations, compliance frameworks, and industry standards.
• Strong analytical, problem-solving, and decision-making skills.
• Excellent attention to detail and the ability to handle confidential information.
• Effective communication and interpersonal skills, with the ability to interact with all levels of the organization.
• Proficiency in compliance software and tools.

Job Type: Full-time

Pay: From ?20,000.00 per month

Benefits:

• Health insurance
• Life insurance
• Provident Fund

Schedule:

• Day shift

Supplemental Pay:

• Performance bonus
• Yearly bonus

Work Location: In person