Compliance Officer

Posted 17 days ago by Richard Pieris & Company PLC, Classification: Banking & Financial Services

The selected candidate will be responsible for,

  • Handling client complaints and dealing with SEC & CSE/CDS.
  • Preparing daily and monthly reports to SEC and CSE.
  • FIU Reporting.
  • Handling SEC, CSE, CDS & FIU audits.
  • Conduct Regular audits related to company procedures, practices, and documents to identify possible weaknesses or risks.
  • Assess company operations to determine compliance risk.
  • Ensure all employees are educated on the latest regulations and processes.
  • Resolve employee concerns about legal compliances within the group.
  • Authorizing new accounts opening/internet trading/intra transfers /Staff trades other required conformations.
  • Maintaining records of all documentations.
  • Ensuring and monitoring trading participants to comply with SEC, CSE and CDS rules and regulations.

The ideal candidate should possess:

  • Degree in Business Administration/Finance/Accounting/ Law or an equivalent qualification in Finance/ Accounting/ Law.
  • Excellent oral and written communication skills.
  • Strong attention to detail.
  • Excellent analytical skills.

An attractive remuneration package awaits the right candidate

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