Regulatory Compliance Officer

Omega Funds Investment Ltd

Requirements to the candidate:
– in-depth knowledge of CIF regulatory requirements;
– previous experience within regulatory compliance function;
– University degree in related field and/or professional qualifications in legal, risk or compliance fields;
– Relevant experience in Trade Surveillance & Monitoring, Risk Management, Internal Audit in regulated company;
– Solid understanding of financial instruments and brokerage services;
– Excellent communication skills, both written and spoken;
– CySEC certification advanced;
– Fluent English; Fluent Russian will be considered an advantage;
– Cyprus resident (Limassol).

Skills required: problem analysis and problem solving, decision-making, influential, strong communication, ability to work in a fast-paced environment, negotiation, organizing and time management.

References from the past jobs will be required
– establish and maintaining the compliance strategy, policies, procedures and controls to ensure the Company operates in compliance with all relevant applicable legislation including the CySEC directives, guidelines and any other applicable rules and codes of conduct;

– respond to compliance needs of operational personnel regarding implementation of procedures in accordance with all relevant applicable regulations and compliance with rules that govern the Company’s operations, products and services;

– analyze changes in laws and/or regulations that impact the Company and its operations to ensure the Company remains up-to-date and in compliance with all applicable legislation requirements;

– design and perform the department’s monitoring program in order to test compliance with established laws, regulations, Company’s policies and managerial guidelines, participating in the development of corrective action plans;

– ensure full compliance with policies, procedures, and applicable laws and regulations;

– monitor on a permanent basis and assess on a regular basis, the adequacy and effectiveness of the measures, policies and procedures put in place in the Company, and the actions taken to address any deficiencies in the Company’s compliance with its obligations;

– annual compliance report;

– implement, monitor and maintain regulatory training program;

– actively participate in compliance risk assessment and ensure accurate analysis of regulatory risk and an effective control environment;

– transactions monitoring;

– manage compliance and regulatory risk and control of the trading activities, manage post-trade controls, perform surveillance reviews, review surveillance reports, conduct exceptions investigations, develop and enhance mitigation measures;

– develop and implement trading system preventative controls, surveillance processes, reports and MIS controls as well as performing ongoing maintenance and reviews to ensure the continuation of controls integrity and performance;

– lead developing processes for escalating issues, conducting testing programs on systems and controls, developing / enhancing tracking tools;

– be a point of contact with Regulators and Authorities (the role requiring excellent communication skills and in-depth knowledge of the compliance risks that impact the day-to-day operations).

To apply send CV to [email protected]

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