Chief Compliance Strategist for Investment Houses
1 month ago
At HRD Solutions, we are seeking a seasoned SEC Compliance Officer to join our team. As a key member of our organization, you will be responsible for ensuring adherence to SEC regulations, guidelines, and directives.
About the Role:
We are looking for a highly skilled professional with a strong background in investment houses and asset management firms. Your expertise will enable us to maintain up-to-date knowledge of SEC rules and regulations, develop and implement effective compliance policies and procedures, and identify, assess, and mitigate compliance risks.
Key Responsibilities:
• 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.
• 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 Framework 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: $350-$500k per annum. We offer a competitive salary based on your qualifications, skills, and experience.
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