Compliance Officer for Regulatory Oversight

Drive regulatory compliance as a Compliance Officer in a hybrid work model. Oversee banking regulations, onboarding processes, and documentation to mitigate risks effectively. This role requires strong collaboration with Compliance, Human Resources, and Legal teams.

You will manage onboarding, maintain regulatory documentation, and support new business initiatives. Ensure accurate registration records to meet obligations while elevating the firm’s compliance standing across U.S. operations. Key Responsibilities: • Coordinate onboarding processes for Broker-Dealer associates • Maintain regulatory documentation and compliance metrics • Collaborate with cross-functional teams for operational efficiency • Monitor registration records for regulatory accuracy • Submit timely U.S. regulatory filings including Form U4, U5 Requirements: • Bachelor’s degree required • 3–5 years in compliance or financial services • Knowledge of banking and broker-dealer regulations • Strong analytical and organizational skills • Exceptional attention to detail is crucial Utilize your compliance expertise to ensure regulatory readiness and enhance operational efficiency within a highly regulated environment. #J-18808-Ljbffr