Responsibilities:
- Facilitate and monitor compliance with the firm's code of conduct and compliance policies including personal trading, gifting and AML
- Review employee disclosure and personal account dealings to identify suspicious incidents and escalate accordingly
- Assist with licensing and registration filings with regulators
- Assist with regulator internal and external reviews
- Work with internal teams to improve and update internal policies and framework
- Prepare reports and analysis for senior management review
Requirements:
- Bachelors degree or above
- 3+ years experience in financial services sector with experience in compliance
- Excellent analytical skills with attention to details
- Proficiency with Excel
- Fluent English