Our Client:
This role is responsible for embedding regulatory standards into daily brokerage operations.
The position acts as a critical bridge between the business unit and the second-line compliance team, ensuring robust governance, proactive risk mitigation, and a culture of compliance across all sales and brokerage activities.
Job Description:
- Oversee and enhance sales practices across brokerage channels to ensure regulatory adherence.
- Provide expert guidance, interpreting complex requirements for daily operations.
- Identify, assess, and mitigate operational risks to maintain a robust governance framework.
- Assist in developing compliance policies and controls tailored to business needs.
- Deliver targeted compliance training to foster a proactive compliance culture.
- Act as a strategic bridge between the business unit and second-line compliance, escalating issues and reporting on performance.
- Drive audit readiness, ensuring accuracy, completeness, and integrity of all documentation.
Job Requirements:
- Bachelor’s degree in Finance, Law, Business, or related field.
- 5+ years of experience in compliance, risk, or audit within brokerage, wealth management, or financial services.
- Deep understanding of relevant regulatory frameworks (e.g., SEC, FINRA, FCA, MAS, or local regulator).
- Proven ability to interpret regulations for non-compliance audiences.
- Strong analytical, communication, and stakeholder management skills.