Senior Compliance Officer- Regulatory

1 month ago


Miami, United States Leeds Professional Resources Full time

Responsibilities

  • Develop and implement an effective legal compliance program
  • Create sound internal controls and monitor adherence to them
  • Draft and revise company policies
  • Proactively audit processes, practices and documents to identify weaknesses
  • Evaluate business activities (e.g. investments) to assess compliance risk
  • Collaborate with external auditors and HR when needed
  • Set plans to manage a crisis or compliance violation
  • Educate and train employees on regulations and industry practices
  • Address employee concerns or questions on legal compliance
  • Keep abreast of internal standards and business goals


Qualifications

  • Proven 7 years experience as a Compliance Officer or Compliance Manager
  • Experience in Regulatory
  • Familiarity with industry practices and professional standards
  • Excellent communication skills
  • Integrity and professional ethics
  • BSc/BA in law, finance, business administration or a related field


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