Market Compliance Expert

Job Summary

The Market Compliance Expert is tasked with ensuring that market participants adhere to relevant laws, regulations, and market rules. This role is pivotal in preserving the integrity of financial markets through compliance assessments, investigations of potential breaches, risk evaluation, and offering strategies to enhance compliance frameworks.

Key Responsibilities

• Oversee adherence to financial market regulations, internal policies, and procedures.
• Conduct thorough compliance audits and inspections of regulated entities.
• Detect regulatory violations and evaluate associated compliance risks.
• Examine trading behaviors and market conduct to identify anomalies.
• Lead investigations into suspected infractions and compile comprehensive reports.
• Advise on corrective measures and monitor implementation of remediation actions.
• Clarify regulatory demands and provide compliance advice to stakeholders.
• Contribute to the development and refinement of market compliance systems.
• Collaborate with internal teams and external regulatory agencies as necessary.
• Maintain detailed and organized records of compliance activities and cases.
• Generate management-level reports, dashboards, and updates on regulatory changes.
• Keep abreast of evolving local and international financial regulations and industry best practices.

Qualifications

• A bachelor's degree in disciplines such as Finance, Economics, Accounting, Law, Business Administration, or related areas is mandatory.
• A master's degree is regarded favorably.
• Certifications like CAMS, CRCM, ICA, SOCPA, or CFA provide an added advantage.