Job Title: Compliance Officer.

Job Summary:

The Compliance Officer will oversee and manage the company’s compliance with financial regulations and internal policies. This role is essential in ensuring that the company adheres to all relevant laws and regulations, thereby mitigating legal and regulatory risks. Key

Responsibilities: o Monitor and ensure compliance with all relevant financial regulations, including SEC, FINRA, FATF and CBB regulation. o Stay current on changes in legislation and industry standards to ensure ongoing compliance. o Conduct regular reviews of regulatory requirements and update policies and procedures accordingly o Develop, implement, and maintain compliance policies and procedures. o Ensure that all company policies and procedures are up-to-date and effectively communicated to employees. o Conduct internal audits to assess compliance with policies, procedures, and regulatory requirements. o Identify and address areas of non-compliance and implement corrective actions. o Develop and deliver compliance training programs for employees. o Provide guidance and support to staff regarding compliance-related issues and best practices. o Prepare and submit required regulatory reports and documentation in a timely manner. o Maintain accurate records of compliance activities, audits, and investigations. o Collaborate with other departments to ensure compliance risks are managed effectively. o Investigate and resolve compliance issues and violations. o Work with legal counsel and regulatory bodies as needed. o Serve as the primary point of contact for regulatory inquiries and audits. o Communicate compliance-related information to senior management and stakeholders.

Qualifications:

 Bachelor’s degree in Finance, Business Administration, Law, or a related field. A Master’s degree or professional certification (e.g., Certified Regulatory Compliance Manager - CRCM) is preferred.  Proven experience in a compliance role, preferably within a stock brokerage or financial services environment.  Strong knowledge of financial regulations, including SEC, FINRA, and other relevant standards.  Excellent analytical skills with the ability to interpret and apply complex regulations.  Strong organizational and time-management skills, with the ability to manage multiple tasks and projects simultaneously.  Effective communication and interpersonal skills, with the ability to interact with all levels of the organization.  High level of integrity and attention to detail.

Requirements

 At least five years of overall compliance experience, in brokerage compliance and anti-money laundering (AML) .  Proficiency in understanding and applying relevant rules and regulations, such as AML/CTF/Sanctions, Conduct of Business, FATCA/CRS, and Data Protection  Understanding of Digital Assets  Strong English communication skills, both written and verbal, with robust analytical, problem-solving, and organizational abilities  Certification as a CISI/ACAMS professional  Ability to manage robust communication with external stakeholders and regulatory bodies  Capable of being hands-on, detail-oriented, and functioning autonomously with a business-enabling approach