Market compliance Expert

Job Summary

The Market Compliance Expert is responsible for ensuring market participants adhere to applicable laws, regulations, and market rules, thereby fostering market integrity. This role involves conducting compliance reviews, investigating potential violations, assessing regulatory risks, and proposing recommendations to enhance compliance practices.

Key Responsibilities

• Monitor and evaluate compliance with financial market regulations, policies, and procedures.
• Conduct compliance reviews and inspections of regulated entities.
• Identify and assess regulatory breaches and compliance risks.
• Analyze trading activities and market conduct to detect irregularities.
• Investigate potential violations and prepare comprehensive investigation reports.
• Recommend corrective actions and oversee remediation plans.
• Interpret regulatory requirements and provide compliance guidance to stakeholders.
• Contribute to the development and enhancement of market compliance frameworks.
• Collaborate with internal departments and external regulatory bodies as required.
• Maintain accurate compliance documentation and case records.
• Prepare management reports, compliance dashboards, and regulatory updates.
• Stay current with changes in local and international financial regulations and best practices.

Qualifications

• Bachelor's degree in Finance, Economics, Accounting, Law, Business Administration, or a related field.
• Master's degree preferred.
• Professional certifications such as CAMS, CRCM, ICA, SOCPA, or CFA are beneficial but not mandatory.