Compliance Officer
3 days ago
Please note that candidates must have a Compliance background related to Markets / Trading with the ability to create and write out Supervisory procedures in the space.
Client: Banking
Location: Charlotte, NC (Must be able to sit onsite 3 days per week.)
Length: 9+ month Assignment
Pay: $55 - $60/hour W2 (No Corp-to-Corp)
Skills:
- Previous experience in compliance within the Markets/Trading industry, preferably with knowledge of regulations governing trading activities.
- Exceptional writing skills to craft comprehensive supervisory procedures.
- Background in regulatory compliance with a strong understanding of compliance frameworks.
- Familiarity with corporate or surveillance backgrounds, preferably from investment management or similar institutions.
- SharePoint or OpenText would be a huge plus.
Day-to-Day:
- Develop and Write supervisory procedures for the Market Conduct Program.
- Ensure procedures align with regulatory requirements and industry best practices.
- Conduct research to stay updated on market regulations and compliance standards.
- Assist in building out the surveillance officer model and implementing effective monitoring strategies.
- Review transaction records and conduct audits to detect potential violations of market regulations.
- Investigate suspicious activities and report findings to regulatory authorities as necessary.
- Maintain and update supervisor procedure documents to reflect changes in regulations or internal processes.
- Communicate effectively with stakeholders to ensure understanding and compliance with procedures.
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