Title: Head of Compliance, and Administration
Company Name: Tristar Securities Ltd.
Vacancy: Not specific
Job Location: Dhaka
Employment Status: Full-time
∎ Post-graduate in any discipline
∎ Work with the CEO to develop an Operating Plan to ensure alignment with short-term and long-term investment and strategic objectives.
∎ Must have sound Knowledge on securities related Laws, Rules, Regulations, Circular,and Derivatives of BB, BSEC, DSE/CSE, CDBL, and assure compliance of the same.
∎ Assure internal control, and compliance of the organization.
∎ Supervising trading, & settlement (both financial, and instrumental) operation.
∎ Formulating, reviewing, and updating operational policies.
∎ Assure compliance internal policies under regulatory guidelines, and reporting to the competent authorities.
∎ Assure processing of the trade operations, and closing of the day.
∎ Supervises, and approves the execution of the trigger sales.
∎ Maintain liaison with all regulators, and stakeholders of the industry
∎ Assure all sort of proper reporting to regulatory authorities within the time frame.
∎ Work alongside Software / Technology development team to ensure that the systems achieve outcomes in line with the Operating Plan.
∎ Building quality relationships with clients.
∎ Manage employee disclosures of trading activities.
∎ Develop and deliver training and communications on compliance policies and procedures to assure proper understanding of regulatory related risks and responsibilities.
∎ Manage regulatory inquiries, investigations, and more.
∎ Monitor privacy and data protection obligations and work with engineering team in connection with same.
∎ Maintain communication with the company team in a professional manner..
∎ Manage customer compliance properly (Trade limit, Front Running, Forward trading, etc.).
∎ Any other responsibilities related to concerned department,, and assigned by the Management.
∎ At least 5 years in the same post of any company of the industry.
∎ In-Depth Knowledge in all business functions of a Stock broker company.
∎ Smart, Pro-active, Team player, paired with agile mindset and can-do attitude.
∎ Excellent communication skill in Bangla and English.
∎ Ability to work under pressure and meet deadline.
∎ Proficient in Excel, Word, PP Presentation.
∎ Excellent interpersonal & communication skill.
∎ Positive attitude towards others.
Compensation & Other Benefits:
∎ Yearly Increment.
∎ Mobile Bill.
∎ Festival Bonus (2)
Job Source: Bdjobs.com Online Job Posting.
Application Deadline: 11 Nov 2021
∎ 12 Oct 2021
∎ Tristar Securities Ltd.
Category: Bank/Non-Bank Fin. Institution