Join Highgate Group as a Compliance Manager, focusing on ethical oversight and effective communication in a hybrid remote setting. Perfect for detail-oriented professionals.
This compliance leadership role demands strong organizational and analytical prowess. You will oversee retail and managed accounts, conduct comprehensive trade reviews, and enhance compliance practices throughout the firm. Your attention to detail ensures timely issue resolution and adherence to regulatory standards.
Key Responsibilities:
• Lead supervision of managed accounts
• Conduct daily and quarterly reviews
• Process trade corrections efficiently
• Approve OTC trade tickets
• Coordinate regulatory examination responses
Requirements:
• Degree in Finance, Business, or related field
• Experience with compliance management software
• 3-5 years in a CIRO member firm
• Proficiency in MS Office
• Excellent communication skills in English
Bring your leadership and ethical ju...