Compliance Officer

Key responsibilities                       

Trading & Market Risk Oversight

·        Monitor trading exposure, margin levels, leverage, and concentration risks

·        Enforce risk limits and escalation procedures

·        Review unusual trading activity and turnover metrics for managed strategies

Regulatory Compliance & Governance

·        Ensure compliance with SRC, SEC regulations, AMLA, KYC, and Data Privacy laws

·        Monitor licensing of Associated Persons

·        Prepare regulatory reports and coordinate audits and inspections

Operational Risk & Internal Controls

·        Identify trading and system vulnerabilities

·        Strengthen cybersecurity and access controls with IT

·        Maintain internal risk policies and support business continuity planning

Risk Reporting & Advisory

·        Provide risk reports to Senior Management

·        Maintain risk registers and compliance logs

·        Recommend policy improvements and define risk appetite guidelines

Qualifications                                 

·        Bachelor's degree in Finance, Economics, Accounting, Risk Management or related; Master’s degree is an advantage

·        Professional Certification (Financial Risk Manager, Certified Risk Manager, Certified Compliance Professional or AML certifications) is a plus.

·        At least 3 years of experience in a brokerage firm, investment company, or financial institution

·        Experience in online trading operations is highly preferred

·        Exposure to margin trading, leverage products, or derivatives is an advantage

·        Experience working within an SEC-regulated environment

·        Strong understanding of trading systems and market risk metrics

·        Knowledge of compliance reporting and regulatory frameworks

·        Strong analytical and documentation skills

·        Ability to interpret regulatory circulars and implement policies effectively

·        High integrity and ethical standards

·        Strong independent judgment

·        Detail-oriented and highly organized

·        Ability to work under pressure and manage regulatory timelines

·        Strong communication and cross-functional coordination skills