Compliance Officer at GTI Group

Job Description

• The ideal candidate will play a key role in ensuring the company’s operations comply with all applicable laws, regulations, and internal policies.
• This position involves designing, implementing, and overseeing robust compliance programs to protect the company from regulatory risks and maintain its strong reputation in the industry.
• Ensure the firm’s operations comply with all applicable laws, regulations, and guidelines issued by the SEC and other relevant regulatory bodies.
• Develop and maintain a comprehensive compliance framework to monitor regulatory changes and update internal processes accordingly.
• Conduct internal audits and compliance checks to identify and address potential risks.
• Develop, implement, and regularly review compliance policies and procedures to align with best practices and industry standards.
• Act as the primary liaison with the SEC and other regulatory authorities.
• Oversee the company’s Know Your Customer (KYC) and Anti-Money Laundering (AML) programs.
• Facilitate AML/CFT trainings for staff
• Investigate compliance breaches and recommend corrective actions.
• Report material compliance issues to the SEC and other regulatory bodies when required.
• Ensure transaction monitoring of staff, employee and client’s account.
• Work with the compliance managerto develop an effective sustainable compliance program.

Requirements

• Bachelor's degree in Finance, Business Administration, Law,or a related field.
• Minimum of 3–6 years of experience in compliance, preferably in an asset management or financial services firm
• Strong knowledge of local and international financial regulations and compliance requirements.

Application Closing Date
Not Specified.