Junior Compliance Officer

KEY RESPONSIBILITIES Develop, recommend and monitor the application and effectiveness of procedures relative to the conduct of examinations for broker back office operations Identify risk areas for review Liaise with Exchange Accountants and member firms auditors to ensure that liquidity returns and audited Financial Statements are filed on a timely basis Prepare visit reports for examinations conducted on Member Firms and recommend action if required Conduct internal compliance audits, prepare reports and recommend action if required Interrogate databases for analysis Develop, recommend changes, and/or update policies and procedures as needed Provide guidance to staff and member community on compliance related matters Other related duties KEY RELATIONSHIPS Report to the Compliance Officer Interact with member firms of the company, internal staff and other regulatory agencies ACCOUNTABILITY Surveillance of broker and the company's operations. Effectiveness of internal controls within the company Fulfilling all assigned aspects of compliance both internal and external Responsiveness to regulatory changes PERFORMANCE PARAMETERS Adherence to procedures, rules and regulations Timely and accurate completion of all aspect of compliance reviews and reporting - specific metrics as defined in annual goals Complete and accurate documentation maintained in relation to all aspects of compliance reviews and internal audit - specific metrics as defined in annual goals Responsiveness and support to client/customer requests - specific metrics as defined in annual goals Initiative, problem solving, adaptability and willingness to participate in all aspects of the business and interest in self development QUALIFICATIONS and KNOWLEDGE First Degree in Auditing/ Accounting/ Management or relevant equivalent studies. And at least One (1) year's working experience in Compliance reviews or auditing. Working knowledge of the relevant laws and regulations of Trinidad and Tobago as they relate to Compliance in the Securities Industry. Experience in leading investigations related to audit and compliance will be an asset. Experience in planning audit and compliance programmes will be an asset. OTHER SKILLS Proficient in Microsoft Office Suite Excellent reasoning and analytical skills Excellent Interpersonal and problem solving skills Excellent Organizational skills Ability to multitask Ability to work well as part of a team Good written, oral communication and report writing skills. Please note this is a four (4) months Maternity Relief contract.

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