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Limassol
CareerFinders, on behalf of our client, a very well-established and highly respected CySEC Licensed Investment Firm with offices in the heart of Limassol, we are seeking to recruit a suitably well-qualified and experienced Compliance Officer to join their expanding team of professionals.
Key Duties/Responsibilities:
- Liaising with all relevant business and supporting areas within the Company.
- Monitoring the adequacy and effectiveness of the measures and procedures of the Company.
- Advising and assisting the relevant persons responsible for carrying out the investment services to be in compliance with the Law.
- Drafting written reports to the Senior Management and the Board making recommendations and indicating in particular whether the appropriate remedial measures have been taken in the event of any deficiencies, at least annually. These reports shall be presented to the Board and discussed during its meetings, at least annually.
- Working on related changes to the Company’s documentation.
- Training and educating the staff of the Company in respect with the compliance function according to the Law.
- Communicating the relevant statutes of the IOM to each employee and notifying them of any relevant changes therein that relates to his/her role and responsibilities in the Company.
- Ensuring that the Executive Directors or other hierarchically higher officers do not exercise inappropriate influence over the way in which a relevant person carries out the provision of investment and ancillary services.
- Developing, designing and re-designing the appropriate procedures of the Company, so as to prevent and resolve potential conflicts of interest, ensuring that all the procedures regarding the Company’s conflict of interest policy are in place, as well as establishing and maintaining ‘Chinese Walls’ procedures between the various organizational units of the Company. Regular checks will be performed to ensure the latter.
- Ensuring that all employees will have the ability to identify cases of potential conflicts of interest.
- Deciding whether to allow or not a transaction by notifying Clients, after being informed by members of the staff of a potential conflict of interest situation.
- Disclosing to Clients or potential Clients of the general nature and any potentially present conflicts of interest.
- Keeping records regarding conflict of interest situations, where relevant.
- Consenting to and approving the Company’s Replacement Policy.
- Establishing measures in connection with personal transactions and notify each relevant person of the restrictions on personal transactions.
- Monitoring and reviewing the dispatch to Clients of the confirmations/notifications regarding the execution of their orders, as applicable.
- Ensuring that all relevant information is included in the Company’s outsourcing agreements.
Key Skills/Experience:
- Legal Educational Background.
- CySEC Advanced Certificate is a MUST.
- At least 2 years of experience as a Compliance Officer.
- Excellent Greek & English.
- Excellent Computer Skills.
- Strong organizational and communication skills.
- Teamwork skills.
- Time management and multitasking abilities.
To apply for this vacancy, please send your CV, along with any covering letter to jobs@careerfinders.com.cy quoting the above job title. Please note that due to the high volumes of applications received only shortlisted applicants will be responded to. By sending us your CV you are giving CareerFinders your consent to be contacted for this and any other suitable vacancies that we believe match your skills and experience. To view our privacy policy, please click www.careerfinders.com.cy/privacy-policy
