A start up broker dealer is looking for a Compliance Officer. The Compliance Officer will be the first compliance hire and report into the General Counsel. This person will have to be both strategic and tactical and take on higher level duties, as well, as lower level tasks that analysts do.
Regulatory Compliance is a key team that ensures this company's products and processes meet the wording and spirit of regulatory requirements, then translate this into good customer outcomes. Regulatory Compliance also facilitates open and transparent relationships with our regulators.
The Regulatory Compliance team brings this company's commitment to improving all aspects of finance to risk management. We are far more data-led than similar functions within other companies; our team has both a strong understanding of regulatory requirements and the ability to find solutions and carry out testing in a purely digital environment.
Join a team that knows that better people and machines are the most effective way of managing conduct risk.
What you'll be doing:
WHAT YOU'LL NEED
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