about the company
Randstad is partnering up with a leading global capital market and investment company. They are looking for compliance specialist to join their expanding team.
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about the job
PRIMARY RESPONSIBILITIES:
This role will support the Senior Manager of Regulatory Compliance in overseeing regulatory compliance for the organization.
Regulatory Oversight:
- Conducting ongoing monitoring and surveillance activities to ensure compliance with regulatory requirements.
- Utilizing advanced trade surveillance tools and data analysis techniques for monitoring trade activities.
- Supervising staff activities to ensure adherence to internal policies, including staff dealing and conflicts of interest.
- Oversight of staff external engagements and fly-in-fly-out activities.
- Performing compliance desk reviews and thematic reviews as necessary to address emerging risks.
Licensing and Registration:
- Assisting in the licensing and registration process for new staff.
- Monitoring existing representatives' compliance with continuing obligations.
- Coordinating with internal stakeholders to fulfill regulatory surveys and requests.
- Supporting the preparation of regulatory reports.
Compliance Training and Communication:
- Conducting compliance induction training for new hires.
- Reminding staff to complete mandatory compliance training.
- Assisting with compliance reporting to local and group management.
Regulatory Advisory:
- Providing support to internal queries on licensing requirements and compliance policies.
- Monitoring regulatory changes and assisting with audits.
- Reviewing and updating local compliance policies as needed.
REQUIRED SKILLS:
- Strong analytical and logical reasoning abilities.
- Effective interpersonal and communication skills.
- Proficient in Microsoft Office Applications for data collection and analysis.
- Familiarity with compliance principles and risk-based approaches.
- Understanding of relevant securities regulations and market rules.
QUALIFICATIONS:
- Minimum 3 years of experience in compliance, audit, or regulatory roles within the financial services sector.
about the manager/team
This role report to the senior compliance manager.