Job Scope

• Review and investigate alerts generated by the market surveillance systems.
• Provide support for the compliance function.
• Assist in the regulatory reporting, compliance risk assessment, compliance work plan to facilitate compliance with relevant legal and regulatory obligations.
• Escalate any potential irregularities to the head of regulations and compliance.
• Liaise with internal stakeholders and external parties.
• Perform other duties assigned by the head of regulations and compliance.

Job Requirements

• Degree in Business, Finance, Computer Science, IT or equivalent.
• 3 to 5 years of relevant experience in a capital market services intermediary (including a brokerage or an exchange) or a financial services regulatory authority.
• Understanding of trading on an exchange/organised market will be an asset.
• Ability to multitask and keen to learn, take initiative and go beyond the scope of work.

Carolyn Ann Santibanez Mendoza EA License No. 02C3423 Personnel Registration No. R1105160

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