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SEC Governance Specialist
5 hours ago
Overview:
HRD Solutions is seeking an experienced SEC Compliance Officer to join our team. As a key member of our compliance function, you will play a critical role in ensuring the company's adherence to SEC regulations and guidelines.
Responsibilities:
- Develop and implement comprehensive compliance policies and procedures aligned with SEC regulations and industry best practices.
- Conduct regular risk assessments and audits to identify potential compliance risks and mitigate their impact.
- Collaborate with internal stakeholders to develop and maintain effective internal control systems and risk management frameworks.
- Provide training and guidance to staff on SEC regulations and compliance procedures.
- Stay up-to-date with changes in SEC regulations and guidelines, and communicate updates to relevant stakeholders.
- Investigate and address any compliance breaches or issues that arise, working closely with senior management and external regulatory bodies as needed.
- 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.
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