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Limassol
Our client is an internationally known, classic brokerage, CySEC Regulated firm in Limassol looking for a Regulatory Compliance Officer.
Duties:
Assist the Head of Regulatory Compliance in establishing and maintaining the compliance strategy, policies, procedures and controls to ensure the Company operates in compliance with all relevant applicable legislation including the CySEC directives, guidelines and any other applicable rules and codes of conduct;
Assist the Head of Regulatory Compliance in responding to compliance needs of operational personnel regarding implementation of procedures in accordance with all relevant applicable regulations and compliance with rules that govern the Company's operations, products and services;
Assist the Head of Regulatory Compliance in analyzing changes in laws and/or regulations that impact the Company and its operations to ensure the Company remains up-to-date and in compliance with applicable legislation;
Assist the Head of Regulatory Compliance in designing and performing the department's monitoring program to test compliance with established laws, regulations, Company's policies and managerial guidelines, participating in the development of corrective action plans;
Assist the Head of Regulatory Compliance in ensuring full compliance with policies, procedures, and applicable laws and regulations;
Monitor on a permanent basis and assess on a regular basis, the adequacy and effectiveness of the measures, policies and procedures put in place in the Company, and the actions taken to address any deficiencies in the Company's compliance with its obligations;
Assist in the Company's regulatory training program;
Actively participate in compliance risk assessment and ensure accurate analysis of regulatory risk and an effective control environment;
Lead a team responsible for Trade Surveillance and Monitoring across the full range of OTC and Exchange-Traded Equities products;
Manage compliance and regulatory risk and control of the trading activities, manage post-trade controls, perform surveillance reviews, review surveillance reports, conduct exceptions investigations, develop and enhance mitigation measures;
Communicate with compliance team heads to work on developing and implementing trading system preventative controls, surveillance processes, reports and MIS controls as well as performing ongoing maintenance and reviews to ensure the continuation of controls integrity and performance;
Lead developing processes for escalating issues, conducting testing programs on systems and controls, developing / enhancing tracking tools;
Be a point of contact with Regulators and Authorities (the role requiring excellent communication skills and in-depth knowledge of the compliance risks that impact the day-to-day operations on the trading floor and trading transactions).
Requirements to the candidate:
Knowledge of CIF regulatory requirements, with previous similar experience in compliance function or in the relevant field;
Professional qualifications in legal, risk or compliance fields;
Relevant experience in Compliance Advisory, Trade Surveillance & Monitoring, Risk Management, Internal Control or Internal Audit gained from investment banking, securities brokerage and / or global markets sales & trading;
Experience in Surveillance and Monitoring would be highly advantageous;
Strong knowledge of equities, futures and options;
Candidates with relevant surveillance and monitoring experience covering other global markets products would also be considered;
Solid understanding of securities and exchange regulations and rules;
Knowledge of the markets trading cycle;
Experience in team management / supervisory role;
University degree in Economics, Finance or Law or other related field.
Excellent communication skills in English, both written and spoken;
CySEC certification (basic/advanced);
Fluent English; Fluent Russian will be considered an advantage;
Preferably Cyprus resident (Limassol).
Relocation to Limassol, Cyprus is
Skills required: strategic thinking, problem analysis and problem solving, decision-making, influential, leadership skills, strong communication skills, ability to work in a fast-paced environment, negotiation skills, organizing and time management skills.
References from the past jobs will be required
Benefits:
Competitive Base Salary based on experience
Discretionary Bonus
Private Medical
TO APPLY for this job opportunity, send your CV (in English please) to admin@smstaffmatters.com and include the reference: Compliance Officer - VAC-A20637C. We look forward to hearing from you!
