Compliance Officer
WHR Global Consulting
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
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