Compliance Manager at REKIT Financial Advisors Limited
REKIT Financial Advisors Limited is an investment advisory solutions company set up to deliver comprehensive and personalized financial consulting to our clients.
Our soul desire is to provide our clients with independent financial advisory services which encompass wealth management, investment solutions and administration, trust and wills as well as tax management.
We are recruiting to fill the position below:
Job Title: Compliance Manager
- The Compliance Manager will be responsible for establishing standards and implementing procedures to ensure that the compliance program throughout the organization is effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations.
- The Compliance Manager will provide reasonable assurance to senior management that there are effective and efficient policies and procedures in place, well understood and respected by all employees, and that the firm is complying with all regulatory requirements.
- Evaluate current and new securities laws and regulations, federal and state, as applicable
- Regularly assess the efficiency of control systems and recommend effective improvements
- Coordinate with all department heads to align compliance policies and procedures to operations
- Perform the annual compliance review of the firm
- Lead employee training sessions on legal and compliance issues
- Conduct periodic risk assessments, testing, and response plans
- Develop, review, revise, implement and update compliance policies and procedures based upon changing business practices, regulatory or legal requirements
- Design and monitor control systems to detect, prevent and deal with violations of law, regulatory requirements, and internal policies
- Enforce standards and promptly respond to detected offenses, develop corrective action, and report findings to Management and other interested parties as required