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Compliance & AML Officer Job Windsor Brokers
Legal Jobs. Windsor Brokers Jobs
The ideal candidate will possess the following qualifications/skills:
- University Degree in Law (LLB or equivalent) and admission to the Bar, with prior experience as a practicing lawyer.
- Chartered Institute of Securities and Investments (CISI) qualification (Certificates 1 and 2), or willingness to obtain it within six (6) months of employment.
- Proven experience in compliance, legal, or regulatory roles within a financial services environment will be considered an asset.
- Strong organizational and analytical skills, with the ability to manage multiple tasks and meet tight deadlines.
- Excellent problem-solving skills, with the ability to identify, assess, and address compliance risks effectively.
- Excellent command of the English language, both written and verbal.
- Demonstrated interest and passion for financial regulation, compliance, and governance, with a proactive attitude and willingness to grow within the company.
The successful candidate will be accountable for:
- Monitor and interpret new and existing laws, regulations, and directives, providing regular updates and recommendations for internal policy amendments.
- Implement and maintain the Compliance Monitoring Program, identifying potential risks and assisting in the resolution of any compliance deficiencies.
- Assist in the review and drafting of legal and compliance-related documents, ensuring adherence to applicable regulatory requirements.
- Support and advise internal departments on legal and regulatory matters relevant to the company’s operations.
- Prepare, maintain, and submit regulatory reports, notifications, and filings required by the relevant authorities in a timely and accurate manner.
- Collaborate with management to ensure effective implementation of compliance policies and procedures.
- Prepare and submit compliance reports, and provide updates to the Legal & Compliance Director regarding the progress of corrective actions and monitoring results.
The successful candidate will receive:
- A competitive base salary with an attractive commission and bonus structure.
- Comprehensive training programs and opportunities for career advancement.
- A dynamic and supportive work environment with a focus on professional growth.
How to Apply
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