SEC Compliance Officer
3 weeks ago
§ Monitor and ensure adherence to SEC regulations, guidelines, and directives.
§ Maintain up-to-date knowledge of SEC rules and regulations.
§ Develop and implement compliance policies and procedures.
§ Identify, assess, and mitigate compliance risks.
§ Develop and maintain risk management frameworks.
§ Conduct regular risk assessments.
§ Prepare and submit all regulatory reports
§ Ensure timely submission of reports.
§ Provide compliance training to staff.
§ Conduct workshops and seminars.
§ Develop, implement, and maintain internal control systems.
§ Conduct regular audits and reviews.
§ Investigate compliance breaches
§ Maintain compliance records.
§ Liaise with regulatory bodies.
§ Participate in industry forums.
Requirements
§ Minimum of 3 years of experience in an Investment house in an Asset Management Firm
§ Minimum of Bachelor's Degree in Finance, Accounting, Economics, Statistics or another closely related field (ICAN,ACCA,CFA is an added advantage)
§ Knowledge Capital Market products
§ Knowledge AML/CFT Frame Work and Implementation
§ Experienced with returns rendition and timeline
§ Ability to analyze large amounts of data and to compile detailed reports
§ High attention to detail and excellent analytical skills
§ Ability to work in a fast-paced, team-based environment with minimal supervision.
§ Proficiency in Microsoft Office (Excel, Word, PowerPoint) is essential
§ Must be SEC sponsored individual
Salary Range 350 - 500k
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