Compliance Risk Management Specialist
7 hours ago
HRD Solutions is seeking a seasoned SEC Compliance Officer to join our team. In this critical role, you will be responsible for ensuring adherence to SEC regulations, guidelines, and directives.
About the Role
This position requires a highly skilled professional with a strong understanding of SEC rules and regulations. As a Compliance Risk Management Specialist, you will develop and implement compliance policies and procedures to mitigate risks associated with non-compliance. Your expertise will also involve maintaining up-to-date knowledge of SEC rules and regulations, identifying and assessing potential compliance risks, and developing risk management frameworks to address these risks. Additionally, you will conduct regular risk assessments, prepare and submit regulatory reports in a timely manner, and provide compliance training to staff members. Furthermore, you will maintain accurate records of compliance activities and ensure effective communication with regulatory bodies and industry forums.
Requirements
To succeed in this challenging role, you must have a minimum of 3 years of experience in an investment house or asset management firm, preferably in a compliance-related function. You should hold a Bachelor's degree in Finance, Accounting, Economics, Statistics, or a closely related field. A professional certification such as ICAN, ACCA, or CFA is highly valued. Your expertise in capital market products, AML/CFT frameworks, and returns rendition and timelines is essential. Strong analytical skills, attention to detail, and excellent communication skills are necessary for success in this role. Proficiency in Microsoft Office applications, particularly Excel, Word, and PowerPoint, is a must. Lastly, you must be a sponsored individual by the SEC.
Benefits and Opportunities
This position offers a competitive salary range of $350,000 to $500,000, depending on experience.
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