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Compliance Officer

A compliance officer ensures that an organization operates within legal and regulatory boundaries by developing, implementing, and enforcing policies and procedures to mitigate risks and promote ethical practices

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Job Description

As a Compliance Officer, you will be responsible for ensuring that the organization adheres to relevant laws, regulations, and internal policies, promoting ethical conduct and mitigating compliance risks.


Purpose

To develop, implement, and oversee compliance programs, policies, and procedures to ensure the organization operates within legal and regulatory frameworks.


Duties and Responsibilities

  • Develop and maintain compliance policies and procedures.
  • Conduct regular compliance risk assessments.
  • Monitor changes in laws and regulations affecting the organization.
  • Provide guidance to employees on compliance matters.
  • Conduct internal audits to assess compliance with policies.
  • Investigate and report on compliance issues.
  • Collaborate with legal and other departments on compliance initiatives.

Qualifications

  • Bachelor's degree in Finance, Business, or a related field.
  • Strong knowledge of relevant laws and regulations.
  • Excellent analytical and problem-solving skills.
  • Detail-oriented with strong communication skills.
  • Ability to interpret and communicate complex regulatory requirements.

Experience

  • Minimum of 3-5 years of experience in compliance or a related field.
  • Experience with regulatory compliance in the financial industry.

Preferred Qualifications

  • Master's degree in Finance, Business Law, or a related field.
  • Professional certifications in compliance (e.g., CRCM, CAMS).

Working Conditions

  • Standard office hours, occasional overtime during compliance reviews.
  • Collaborative office environment.

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