regional compliance officer

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iş ilanı detay

maslak, ıstanbul (avrupa)
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iş tanımı

We are looking for a Regional Compliance Officer for our business partner.

The Regional Compliance Officer is a key member of the Brokerage Group leadership team, responsible for driving the design, delivery and ongoing oversight of the world-class compliance program across our global brokerage business units and teams.
Built and manage the governance risk and compliance for the brokerage business in line with SM&CR or similar models, in the form of Non-Executive Board Membership or oversight of the Compliance Function as deemed necessary.
Chair, participate or advice as appropriate in compliance and governance committees.
Develop, implement and maintain an effective compliance risk management framework, in line with 3 Lines of Defence (3LOD) and designed to ensure the firm’s supervision and controls are in compliance with laws, regulatory requirements, ethics and industry best practices across Clusters (worldwide, regional, country jurisdiction, legal entity, business, product and services) that the company operates.
Build and lead a team of compliance professionals in various global offices for ongoing management of the compliance program.
Monitor horizon risks including regulatory rule changes to ensure the firm’s policies and procedures comply with appropriate laws, regulations, industry guidance and ethics.
Provide advice to senior leadership on current and emerging risk, regulatory rules, enforcements and actions.
Ensure policies and procedures are appropriately documented and referenced in the Firm's compliance manuals and written supervisory procedures.
Proactively monitor and test the firm’s systems, processes and activities to identify and resolve potential compliance issues.
Implement, maintain and perform risk assessments of the firm’s AML/CTF, Sanctions and KYC policies for existing as well as new business, clients and regions.
Identify, examine and report suspicious activities.
Serve as the primary contact with global regulators and manage regulatory communications.
Coordinate, respond and participate, regulatory, external and internal auditors, as required under exams, inquires, reviews or audits.
Works with all levels of management to ensure that appropriate supervisory processes and controls are established, documented, and enforced within each of the firm’s areas of responsibility including but not limited to;
New account opening,
New product approval,
Counterparty, supplier and vendor risk management,
Anti-bribery and corruption,
Conflicts of interest, personal account dealing, insider trading and employee outside business activities.
Marketing material, electronic communication and written correspondence reviews.
Data Privacy / GDPR
ESMA / MIFID II / MAR directives
Complaints Handling Treating Customers Fairly
Create policies, procedures and guidelines to maintain and monitor employee training and licensing requirements.
Travel to global office locations as necessary on an ad hoc basis,


Strong leadership skills with gravitas to represent Compliance, Governance and Risk as a Non-Executive Director (NED) at Board Level of our international firms.
Strong ability to articulate information concisely and fluently in written and verbal communication in English and Turkish.
Minimum of 5 years of hands on industry experience in a compliance risk management role with an in-depth working knowledge of the industry’s standards and the regulatory regime gained in financial markets, investment banking or brokerage firms.
Broad knowledge, understanding and interpretation skills of the laws, regulations, rules and guidelines of global regulatory institutions and the industry’s best practices especially ESMA / MIFID II / MAR directives, PSD2, GDPR, Sanctions EU Anti-Money Laundering Directives.
Knowledge and experience in Trading and Risk Management systems
Professional Certifications in Capital Markets (SPK Level 3) or in Compliance/AML Risk (ICA, CAMS, CRM or CIA)
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