Junior Compliance Officer

Job Summary

A company is looking for a Compliance and Supervision Junior Officer.

Key Responsibilities

• Support the drafting, review, and maintenance of internal compliance policies
• Translate approved policies into actionable procedures and operational guidelines
• Liaise with internal teams to ensure policies are operationally feasible and effectively implemented

Qualifications

• Bachelor's degree in Finance, Business, Law, or a related field
• 3-5 years of experience in compliance, risk, regulatory research, or a related function
• Strong research and analytical skills
• Understanding of financial services regulatory environments (FINRA/SEC knowledge is a plus)
• Familiarity with compliance documentation such as WSPs and SOPs is preferred