Job Detail

Job Description

Job description

Responsibilities

• Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies
• Evaluate the efficiency of controls and improve them continuously
• Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues
• monitor enforcement of standards and regulations
• Assess the businesss future ventures to identify possible International Compliance risks
• Review the work of colleagues when necessary to identify compliance issues and provide advice or training
• Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control
• Research and evaluate different International Compliance risk factors regarding business decisions and operations
• Apply effective risk management techniques and offer proactive advice on possible legal issues

Requirements

• Proven experience as International Compliance and Legal Team with some international financial service firm, or outsourcing firm supporting the financial service firms
• It will be a plus to have experience in fulfilling the compliances of any of these bodies NFA/CFTC, FINRA, MAS (Singapore), FSA (Mauritius).
• Have experience in handling brokerage compliances for SEBI, Indian exchanges, and ability to learn foreign rules
• In-depth knowledge of the industry’s standards and regulations
• Excellent knowledge of reporting procedures and record keeping
• A business acumen partnered with a dedication to legality
• Methodical and diligent with outstanding planning abilities
• An analytical mind able to “see” the complexities of procedures and regulations
• BA in law, finance, business administration or related field
• Certified compliance professional is a plus
• critical problem-solving ability

Skills Required