Compliance Officer (В архиве)

Urgently searching Compliance Officer for the Leading investment company



Сontrol over compliance with the requirements of the Russian legislation on securities market, the laws on the protection of rights and legitimate interests of investors on the securities market, the legislation on advertisement and internal documents of the professional participant;
Сontrol over the compliance with licensing requirements;
Сontrol over the compliance and timeliness of the disclosure of information, which the licensed companies should make in accordance with Russian law disclosure requirements;
Сontrol over the observance of anti-monopoly requirements and measures aimed to prevent the price manipulation by the licensed companies of the securities market and its clients;
Сontrol over the observance of measures designed to minimize the risks related to professional activity on the securities market, including measures to minimize the risks of mixing various types of professional activities on the securities market;
Сontrol over the observance of measures designed to prevent conflicts of interests while acting as a professional participant of the securities market, and if a conflict of interest aroused, then the client s interests priority;
Сontrol over the observance of measures aimed to prevent an unlawful use of inside information while acting as a professional participant;
Сontrol by way of random sample checks over the compliance with Russian law requirements to internal accounting;
Сontrol over the truthfulness and timeliness of reporting provided by the professional participant and compliance of the same with the Russian legislation;
Review of the claims, complaints addressed to professional participant related to its activities on the securities market;
Immediate notification of the Head of Compliance any breach by the professional participant of the Russian legislation of which the Compliance officer become aware of;
Control over the elimination of breaches and implementation of measures for preventing the occurrence of similar breaches by the professional participant in the future;
Developing and implementation of compliance procedures, internal rules and manuals for the licensed companies;
Implementation of the new regulations and Russian regulatory requirements;
Advising employees of the licensed companies on issues of its activities on the securities market;
Performing other functions related to the control over compliance by the professional participant with Russian law requirements.


University degree in Law of in Finance
General Corporate knowledge
Fluent English
PC literacy (MS Office)
2-3 years experience as a compliance officer/controller

Контакты вакансии

Alexandra Fedosova 79647615515 Россия, Москва

Требования к кандидату

Профессиональный опыт*

3 года (Обязательно)