Title: Compliance Officer
Company Name: SFIL Securities Limited
Vacancy: Not specific
Job Location: Dhaka
Employment Status: Full-time
∎ Masters degree in any discipline
∎ At least 3 year(s)
∎ Develop and manage annual broker-dealer testing program to ensure full compliance with all relevant rules and regulations.
∎ Work to help monitor orders, executions, allocations, best execution, trading errors, and more.
∎ Manage employee disclosures of trading activities.
∎ Develop and deliver training and communications on compliance policies and procedures to ensure proper understanding of regulatory related risks and responsibilities.
∎ Partner with wealth advisory team to strategize with respect to the rollout of new products
∎ Work with Legal team to analyze changes to regulatory requirements, handle regulatory inquiries and investigations, and more.
∎ Monitor privacy and data protection obligations and work with engineering team in connection with same.
∎ Communicate regularly with access persons, supervised persons, and registered representatives.
∎ Supervision of trading activities
∎ Knowledge about securities related rules, regulations, circular & derivatives of BSEC, DSE/CSE.
∎ Ensure compliance of BSEC, CDBL, DSE, CSE and Bangladesh Bank rules & regulations.
∎ Manage customer compliance department properly (no over limit, adherence to margin policy, no front running, no forward trading).
∎ Age 28 to 40 years
∎ Solid understanding of local laws, DSE/CSE and BSEC Rules & Regulations.
∎ Proficient in Excel, Word, PP Presentation.
∎ Excellent interpersonal & communication skill.
∎ Smart & pro-active.
∎ Positive attitude towards others.
Job Source: Bdjobs.com Online Job Posting.
Application Deadline: 20 Sep 2021
∎ 9 Sep 2021
∎ SFIL Securities Limited
∎ Address : Rangs RL Square, Level: 3, 201/1 Kha, Progoti Shoroni, Dhaka - 1212
∎ Business : SFIL Securities Limited is a brokerage house licensed by Bangladesh Securities and Exchange Commission (BSEC). It is a subsidiary company of Strategic Finance & Investments Limited- a Bangladesh Bank licensed leading Financial Institution consists of institutional investors from Canada, USA and Bangladesh. SFIL Securities Limited is committed to become most preferred brokerage house to provide comprehensive service to its clients.
Category: Bank/Non-Bank Fin. Institution