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Title
Text copied to clipboard!Securities Compliance Officer
Description
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We are looking for a diligent Securities Compliance Officer to join our team. The successful candidate will be responsible for ensuring our company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters. A great Securities Compliance Officer is well-versed in legal guidelines and corporate governance best practices. You are a professional of high ethical standards and work diligently to complete your duties keeping in mind the objectives of the business. You must be comfortable saying 'no' when necessary and be result-oriented.
Responsibilities
Text copied to clipboard!- Develop and implement company policies and regulations.
- Understand and adhere to all external and internal regulations and policies.
- Create and manage effective action plans in response to audit discoveries and compliance violations.
- Regularly audit company procedures, practices, and documents to identify possible weaknesses or risk.
- Assess company operations to determine compliance risk.
- Ensure all employees are educated on the latest regulations and processes.
- Resolve employee concerns about legal compliance.
- Prepare and present clear and concise compliance reports to the board.
- Collaborate with external auditors and HR when needed.
- Set plans to manage a crisis or compliance violation.
Requirements
Text copied to clipboard!- Proven experience as a Compliance Officer or Compliance Manager.
- Experience in risk management.
- Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML).
- Familiarity with industry practices and professional standards.
- Excellent communication skills.
- Integrity and professional ethics.
- Teamwork skills.
- Attention to detail.
- Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP)) is a plus.
- BSc/BA in law, finance, business administration or related field.
Potential interview questions
Text copied to clipboard!- How do you stay updated on the latest industry regulations?
- Describe a time when you had to make a difficult decision in order to comply with a regulation.
- How do you handle employees who resist adhering to new policies and procedures?
- What steps do you take to assess a company's risk?
- Describe a time when you identified a potential risk and took steps to prevent it.