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Compliance Manager

Client:
Brokerage company
Location:
Bucharest
Key Responsibilities:
  • As a member of the Capital Markets Compliance team, you are required to perform compliance tasks in the field of National and European legal framework in place (MIFID II/MIFIR, MADII/MAR and PRIIPs etc.), with focus on :

  • Review and analyze the activity of the business lines linked with providing investment services to clients;

  • Perform the controls that help ensure ongoing compliance with key laws, regulations and policies affecting businesses and mitigate the Compliance risk;

  • Analyzing and drafting responses to regulatory inquiries;

  • Analysis of existing and proposed legislation, regulatory announcements and industry practices for compliance requirements and support businesses to develop and implement procedures to meet these requirements;

  • Develop and deliver compliance training as needed;

  • Additionally, the role requires contribution to specific projects and program tasks intended to improve compliance and enhance the control environment;

Requirements:
  • A minimum of 6 years of total work experience in Financial Services, with relevant experience as compliance officer, audit or legal background;

  • Thorough knowledge of regulatory environment and compliance requirements related with providing investment services (ASF Regulation, MIFID II, etc.);

  • Ability to effectively communicate orally or in writing within all levels of the organization;

  • High level of curiosity and comfort with the unfamiliar or unknown;

  • Fluent English speaker with strong oral and written communication skill.

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