Exclusive Capital

We are currently seeking a dynamic and motivated individual for the position of Compliance Officer to join our Firm's Compliance Department. Key Responsibilities/Duties Collaborate with the Senior Compliance Officer to establish and refine policies and procedures, ensuring compliance with relevant laws and regulations. Effectively communicate policies and procedures to employees and provide necessary training. Monitor and enforce compliance with both internal policies and external regulations, conducting regular audits and assessments to identify non-compliance. Develop and implement corrective action plans to rectify compliance deficiencies and mitigate associated risks. Stay updated on changes in laws and regulations, conducting thorough investigations into compliance violations or allegations. Document findings, recommend compliance actions or corrective measures, and prepare reports for senior management and regulatory authorities. Foster a culture of compliance...