Compliance Officer

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

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