
Compliance Risk Manager
4 days ago
Mute Swan Capital Limited is a dynamic investment banking firm dedicated to delivering innovative financial solutions while maintaining the highest standards of regulatory compliance. We are seeking a detail-oriented and knowledgeable Compliance Officer to join our team and ensure adherence to SEC rules and other relevant regulatory frameworks.
Job Description:
The Compliance Officer will be responsible for monitoring and ensuring compliance with all applicable SEC regulations and industry standards. This includes developing, implementing, and overseeing compliance policies, procedures, and internal controls. The officer will also conduct regular audits and assessments to identify potential compliance risks and provide training and guidance to staff on compliance-related matters.
Key Responsibilities:
- Develop, implement, and oversee compliance policies, procedures, and internal controls.
- Conduct regular audits and assessments to identify potential compliance risks.
- Provide training and guidance to staff on compliance-related matters.
- Liaise with regulatory bodies, including the SEC, and ensure timely submission of required filings and reports.
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