Compliance Associate

  • Competitive
  • Limassol, Cyprus Limassol Limassol CY
  • Permanent, Full time
  • Non-disclosed
  • 14 Aug 18 2018-08-14

An international investment firm seeks a dynamic Compliance Associate reporting to the Chief Compliance Officer in Cyprus. The firm is authorised and regulated by the Cyprus Securities & Exchange Commission (“CySEC”), registered with the US SEC, as well as with the US CFTC, and a member of the US National Futures Association (“NFA”).

The Role

  • Working closely with the firm’s Senior Management, Chief Compliance Officer and Legal Counsel in delivering the objectives and meeting the timetable for all regulatory fillings
  • Ensuring that regulatory reports are filed on accurate and timely manner
  • Administrating, evaluating and maintaining the firm’s investment adviser compliance program
  • Providing expert advice to employees regarding internal compliance policies and procedures
  • Assisting with the preparation of CySEC capital adequacy reports, SEC Form ADV, CFTC CPO/CTA quarterly reports as well as any other monthly, quarterly, annually or ad hoc regulatory reporting requirements
  • Maintaining accurate and complete compliance records
  • Proactively detecting and resolving any potential compliance issues
  • Identifying and resolving any potential conflicts of interest, areas of compliance vulnerability and risk
  • Staying up to date with upcoming changes and new developments in securities laws and regulations
  • Managing, coordinating and preparing for regulatory audits visits/requests
  • Performing compliance reviews such as SEC filings, prospectus, supplements and annual/semi-annual fund reports
  • Analyses the monthly portfolio holding disclosures and investor information from a compliance perspective
  • Active involvement in operational risk management and finance related activities

The Individual
Qualifications and Experience

  • Bachelor’s degree in business, economics, finance, accounting or risk management
  • ACA/ACCA Qualified Accountant, with experience in a similarly demanding role
  • CySEC advanced examination certificate will be considered an advantage
  • Relevant experience in a previous compliance role with a Cyprus or International regulated firm
  • Understanding of applicable CySEC, NFA and SEC rules and regulations
  • Prior experience in investor due diligence will be considered an advantage
  • Computer literate (Microsoft Office Packages and Databases)
  • Fluent in English

Skills and Attributes

  • Strong organizational and problem solving skills, attention to detail and willingness to learn
  • Excellent planning, prioritisation, communication, presentation and interpersonal skills
  • Proactive with the ability to take initiative and prepare proposals and preparation for management decisions
  • Highly ethical, trustworthy, reliable, discreet, dynamic, with the ability to work under pressure

If you are interested in applying for this position please send us your CV and cover letter to mailto:regops@financial-industry-careers.com regops@financial-industry-careers.com