Risk And Compliance Officer
Full-time
EBM Talent Bucket Inc.
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
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
Vacancy posted 12 days ago
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