Key Responsibilities:
Monitor and ensure compliance with all applicable SEC regulations and industry standards.
Develop, implement, and oversee compliance policies, procedures, and internal controls.
Conduct regular audits and assessments to identify potential compliance risks.
Provide training and guidance to staff on compliance-related matters.
Liaise with regulatory bodies, including the SEC, and ensure timely submission of required filings and reports.
Investigate and resolve compliance issues, reporting findings to senior management.
Stay updated on changes in regulations and advise management on necessary adjustments to policies.
Requirements:
Bachelor’s degree in Finance, Law, Business Administration, or a related field.
Strong understanding of SEC rules and regulations, particularly in investment banking.
Minimum of 2 years experience in compliance or a related role within the financial services industry.
Excellent analytical, communication, and interpersonal skills.
Ability to manage multiple tasks and work effectively under pressure.
Proficiency in Microsoft Office tools and compliance software is an advantage.
Interested and qualified candidates should send their CV to: hr@muteswancapital.com using the Job Title as the subject of the email.
Apply via :
hr@muteswancapital.com