Compliance Officer at Mute Swan Capital

Key Responsibilities:

• Monitor and ensure compliance with all applicable SEC regulations and industry standards.
• Develop, implement, and oversee compliance policies, procedures, and internal controls.
• Conduct regular audits and assessments to identify potential compliance risks.
• Provide training and guidance to staff on compliance-related matters.
• Liaise with regulatory bodies, including the SEC, and ensure timely submission of required filings and reports.
• Investigate and resolve compliance issues, reporting findings to senior management.
• Stay updated on changes in regulations and advise management on necessary adjustments to policies.

Requirements:

• Bachelor's degree in Finance, Law, Business Administration, or a related field.
• Strong understanding of SEC rules and regulations, particularly in investment banking.
• Minimum of 2 years experience in compliance or a related role within the financial services industry.
• Excellent analytical, communication, and interpersonal skills.
• Ability to manage multiple tasks and work effectively under pressure.
• Proficiency in Microsoft Office tools and compliance software is an advantage.