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Title
Text copied to clipboard!Securities Compliance Specialist
Description
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We are looking for a Securities Compliance Specialist responsible for monitoring and ensuring adherence to all applicable laws and regulations governing the securities market. Your primary role will be to guarantee that the company's activities comply with regulatory requirements, prevent legal violations, and ensure transparency in securities transactions. You will work closely with internal departments including legal, finance, and audit, as well as with external regulators and auditors. This role is critical for maintaining the company's reputation and minimizing legal and financial risks. The ideal candidate should have deep knowledge of securities legislation, experience working with regulatory documents, and the ability to analyze complex legal and financial data. Strong communication skills, teamwork ability, high responsibility, and attention to detail are also essential. We offer a dynamic work environment, opportunities for professional growth, and a competitive compensation package.
Responsibilities
Text copied to clipboard!- Ensure company activities comply with securities laws
- Monitor changes in regulations and inform stakeholders
- Develop and implement internal compliance policies and procedures
- Conduct training sessions for company employees
- Liaise with regulators and prepare reports
- Analyze and assess risks of non-compliance
- Support internal audits and inspections
- Advise management on compliance issues
- Monitor disclosure rules adherence
- Participate in investigations of compliance breaches
Requirements
Text copied to clipboard!- Higher education in law, finance, or economics
- At least 3 years of experience in compliance or securities regulation
- Knowledge of Russian and international securities legislation
- Ability to work with regulatory documents and reporting
- Strong analytical and communication skills
- Attention to detail and high responsibility
- Ability to work independently and in a team
- English proficiency at least at Intermediate level
- Experience interacting with regulators is a plus
- Proficiency in MS Office and specialized software
Potential interview questions
Text copied to clipboard!- What experience do you have with securities regulations?
- What methods do you use to monitor legislative changes?
- How do you organize employee compliance training?
- Describe a situation where you resolved a conflict with a regulator.
- What tools do you use to assess compliance risks?
- How do you ensure transparency and accuracy in reporting?
- Which internal procedures do you find most effective for compliance?
- How do you manage large volumes of information and deadlines?
- Describe your experience working with external auditors.
- What qualities do you think are important for a compliance specialist?
