Compliance Officer – Policies and Procedures
The Compliance Officer – Policies and Procedures of will create and maintain a Compliance Policies and Procedures for all Americas registered entities, they will be assisted in content by the compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also maintain the Written Supervisory Procedures for the business units. The Compliance Officer Policies and Procedures will ensure that all policies and procedures are up to date, posted on the internal web and distributed to users. In addition, the Policies and Procedures Compliance Officer will maintain version control and ensure that standard templates are utilized. The position will be work closely with the Business Unit Compliance Officers.
Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within the company and ensuring that all employees understand their responsibilities.
Furthermore, Compliance is a bridge between the company and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between the company and regulatory bodies.
Responsibilities:
Create and maintain Compliance Policies and Procedures including WSP (Written Supervisory Procedures) for all regulated US entities including two broker dealers, swap dealer, and FCM.
Work with Compliance advisory teams (FCM, Broker Dealer, Solutions, Central Compliance) to ensure that policies and procedures are maintained.
Maintain a horizon scanning log for all US regulators.
Maintain US Compliance Training program.
Coordinate US Compliance Training and Horizon scanning with Global Team.
Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.
Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
At all times complying with the company's Code of Conduct
To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
To report any breaches of policy to Compliance and/ or your supervisor as required
To escalate risk events immediately
To provide input to risk management processes, as required.
The Company may require you to carry out other duties from time to time.
Competencies, Skills and Experience:
Competencies
Have a positive, hands-on, “can-do” attitude.
Critical thinker, proactive, and creative.
High organized, strong attention to detail.
Ability to independently identify and resolve issues.
Ability to work on multiple projects in a fast-paced environment.
Ability to project confidence and professionalism in dealings with senior business personnel.
Ability to work on multiple projects in a fast-paced environment.
Quick learner and self-starter, with the ability to manage multiple tasks simultaneously with minimal supervision.
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.
Skills and Experience
Bachelor’s degree (or a post graduate degree) is preferred.
At least 5 years of financial industry experience in a compliance role.
Experience managing projects in a complex environment.
Comfortable working both independently and in a team environment.
Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
Excellent verbal and written communication skills.