Compliance Officer
We are a trusted wealth management company, renowned for delivering bespoke financial solutions to high-net-worth individuals and institutional clients. We are seeking a self-driven and proactive Compliance Officer to join our dynamic team.
Responsibilities
- Ensure compliance with regulatory requirements and internal policies.
- Conduct regular audits and assessments to identify compliance risks.
- Provide guidance and training to staff on compliance matters.
- Prepare compliance reports and documentation for regulatory bodies.
- Collaborate with various departments to promote a culture of compliance.
Qualifications and Experience
- Be an Attorney-at-Law having a minimum of five (5) years of experience in compliance matters or possesses any other relevant qualification/experience.
- Alternatively, possess any of the following qualifications with at least two (2) years of experience in the financial/securities market:
- A degree from a recognized university in Finance, Accountancy, Business Administration, Commerce, or Economics.
- Member/Associate of a professional body of Accountants recognized by the International Federation of Accountants.
- Chartered Financial Analyst.
- Associate of the Chartered Institute of Bankers.
- Associate of the Institute of Bankers of Sri Lanka.
- Associate of the Chartered Institute for Securities and Investments.
- Any other professional and/or academic qualification acceptable to the commission.
- Or have a minimum of seven (7) years of experience in the financial/securities market.
Benefits
- Competitive salary based on experience.
- Comprehensive health insurance.
- Opportunities for professional development and growth.
- Supportive and collaborative work environment.
How to Apply
If you are interested in this position, please send your CV to hr@nestorstockbrokers.lk with the subject "Compliance Officer".