Job Description:As a Compliance Officer, you will play a critical role in safeguarding the integrity of our operations and ensuring compliance with applicable laws, regulations, and internal policies. You will work closely with cross-functional teams, including Legal, Risk Management, and Technology, to develop and implement compliance programs that promote ethical conduct and mitigate regulatory and operational risks. Your expertise and understanding of the regulatory landscape will be essential in guiding the company’s compliance strategy and fostering a strong culture of compliance across the organization. Responsibilities Develop, implement, and oversee compliance policies, procedures, and controls to ensure adherence to applicable laws, regulations, and industry standards. Monitor regulatory developments and assess their impact on the company’s operations, products, and services, providing guidance and recommendations to senior management. Conduct periodic risk assessments and compliance audits to identify potential areas of non-compliance or control weaknesses and develop appropriate mitigation strategies. Collaborate with internal stakeholders to ensure compliance requirements are embedded into product development, including conducting compliance reviews for new products, features, and initiatives. Implement ongoing monitoring and surveillance activities to detect and prevent potential compliance violations, such as market abuse, fraud, money laundering, and data breaches. Deliver training and awareness programs to employees to ensure understanding of compliance obligations and expectations. Establish and maintain relationships with regulatory authorities and industry bodies, acting as the primary point of contact for compliance-related inquiries and inspections. Investigate and respond to compliance incidents, complaints, and breaches, implement corrective actions, and report findings to senior management and relevant authorities, as required. Stay up to date with changes in regulatory requirements, industry best practices, and emerging trends in Fin Tech to proactively identify and address compliance risks. Perform internal reviews and self-assessments to evaluate the effectiveness of the compliance program and recommend improvements as needed.
Qualifications Bachelor’s degree in finance, Business Administration, Law, or a related field. Advanced degrees and relevant professional certifications (e.g., CME1, CME2) are considered an advantage.2 to 4 years of experience in a compliance role within the financial services industry, preferably in Fin Tech or a related regulated environment. Strong knowledge of financial regulations and industry standards, including Anti-Money Laundering (AML), Know Your Customer (KYC), data privacy, consumer protection, and securities laws. Familiarity with technology-enabled financial services and an understanding of the associated compliance risks and challenges. Excellent analytical and problem-solving skills, with the ability to interpret complex regulations and develop practical compliance solutions. Effective verbal and written communication skills to clearly articulate compliance requirements and engage with stakeholders at all levels of the organization. Strong attention to detail and the ability to work independently, prioritize tasks, and meet deadlines in a fast-paced, dynamic environment. Demonstrated ability to build and maintain relationships with regulators, industry peers, and external partners. High ethical standards and a strong commitment to promoting a culture of compliance and integrity within the organization.