SEC Compliance Officer at HRD Solutions

Description 

• Monitor and ensure adherence to SEC regulations, guidelines, and directives.
• Maintain up-to-date knowledge of SEC rules and regulations.
• Develop and implement compliance policies and procedures.
• Identify, assess, and mitigate compliance risks.
• Develop and maintain risk management frameworks.
• Conduct regular risk assessments.
• Prepare and submit all regulatory reports
• Ensure timely submission of reports.
• Provide compliance training to staff.
• Conduct workshops and seminars.
• Develop, implement, and maintain internal control systems.
• Conduct regular audits and reviews.
• Investigate compliance breaches
• Maintain compliance records.
• Liaise with regulatory bodies.
• Participate in industry forums.

Requirements

• Minimum of 3 years of experience in an Investment house in an Asset Management Firm
• Minimum of Bachelor's Degree in Finance, Accounting, Economics, Statistics or another closely related field (ICAN,ACCA,CFA is an added advantage)
• Knowledge Capital Market products
• Knowledge AML/CFT Frame Work and Implementation
• Experienced with returns rendition and timeline
• Ability to analyze large amounts of data and to compile detailed reports
• High attention to detail and excellent analytical skills
• Ability to work in a fast-paced, team-based environment with minimal supervision.
• Proficiency in Microsoft Office (Excel, Word, PowerPoint) is essential
• Must be SEC sponsored individual.