Compliance Officer

Apex Systems is hiring a Compliance Officer for one of our most reputable financial clients. This is a hybrid contracting role in Charlotte, NC.

Top 3 requirements:

1. Previous experience in compliance within the markets/trading industry, preferably with knowledge of regulations governing trading activities.
2. Exceptional writing skills to craft comprehensive supervisory procedures.
3. Background in regulatory compliance with a strong understanding of compliance frameworks.
4. Familiarity with corporate or surveillance backgrounds, preferably from Wells investment management or similar institutions.
5. Proficiency in Microsoft Word.

Plusses:

1. SharePoint or OpenText experience.

Job Description:

1. Develop and write supervisory procedures for the Market Conduct Program.
2. Ensure procedures align with regulatory requirements and industry best practices.
3. Conduct research to stay updated on market regulations and compliance standards.
4. Assist in building out the surveillance officer model and implementing effective monitoring strategies.
5. Review transaction records and conduct audits to detect potential violations of market regulations.
6. Investigate suspicious activities and report findings to regulatory authorities as necessary.
7. Maintain and update supervisor procedure documents to reflect changes in regulations or internal processes.
8. Communicate effectively with stakeholders to ensure understanding and compliance with procedures.