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Title
Text copied to clipboard!Securities Compliance Officer
Description
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We are looking for a Securities Compliance Officer to join our financial compliance team. This role is critical in ensuring that our organization adheres to all applicable securities laws, regulations, and internal policies. The ideal candidate will have a strong understanding of financial markets, regulatory frameworks, and risk management practices.
As a Securities Compliance Officer, you will be responsible for monitoring trading activities, reviewing internal controls, and advising on compliance matters related to securities transactions. You will work closely with legal, audit, and trading departments to ensure that all operations are conducted within the bounds of regulatory requirements. Your role will also involve staying up to date with changes in securities laws and implementing necessary updates to compliance programs.
You will conduct internal investigations, prepare compliance reports, and assist in regulatory filings. The position requires excellent analytical skills, attention to detail, and the ability to communicate complex regulatory information clearly and effectively. Experience with SEC, FINRA, and other regulatory bodies is highly desirable.
This is a great opportunity for a compliance professional who is passionate about maintaining the integrity of financial markets and ensuring ethical conduct within a dynamic organization. If you are proactive, detail-oriented, and have a strong background in securities compliance, we encourage you to apply.
Responsibilities
Text copied to clipboard!- Monitor securities trading activities for compliance with regulations
- Develop and implement compliance policies and procedures
- Conduct internal audits and risk assessments
- Advise departments on regulatory requirements
- Prepare and submit regulatory filings
- Investigate potential compliance violations
- Maintain up-to-date knowledge of securities laws
- Train staff on compliance protocols
- Collaborate with legal and audit teams
- Respond to inquiries from regulatory agencies
Requirements
Text copied to clipboard!- Bachelor’s degree in finance, law, or related field
- 3+ years of experience in securities compliance
- Strong knowledge of SEC and FINRA regulations
- Excellent analytical and problem-solving skills
- Attention to detail and high level of accuracy
- Strong written and verbal communication skills
- Ability to manage multiple tasks and deadlines
- Experience with compliance software tools
- Professional certification (e.g., CRCM, CAMS) is a plus
- Ability to work independently and in a team environment
Potential interview questions
Text copied to clipboard!- Do you have experience with SEC and FINRA compliance?
- Can you describe a time you identified a compliance issue?
- What compliance software tools have you used?
- How do you stay updated on regulatory changes?
- Have you conducted internal audits or investigations?
- What is your approach to training staff on compliance?
- How do you handle pressure and tight deadlines?
- Are you familiar with preparing regulatory filings?
- What certifications do you hold related to compliance?
- Why are you interested in this role?
