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Compliance Officer

Permanent Full Time Posted On 04.07.2021 Expire On 04.20.2021 Employer


Job Title:    Compliance Officer
Reports to: Board of Directors 

Job Summary:
The Compliance Officer oversees the Corporate Compliance Program, functioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures the Board of Directors, management and employees are in compliance with Laws, Regulations, By-Laws and Rules and Regulations of Regulatory Agencies. The Compliance also ensures that company policies and procedures are being followed, and that behavior in the organization meets the company’s Standards of Conduct.

Key Responsibilities and Duties
  • Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
  • Direct the development or implementation of compliance-related policies and procedures throughout an organization.
  • Manages day-to-day operation of the Compliance Program.
  •  Develops and periodically reviews and updates Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
  • Monitors the performance of the Compliance Program and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness.
  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
  • Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
  • Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  • Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
  • Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
  • Provides reports on a regular basis, and as directed or requested, to keep the Committees of the Board, the Board and senior management informed of the operation and progress of compliance efforts.
  • Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
  • Acts as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
  • Collaborates with other departments (e.g., Investments, Control and Human Resources) to direct compliance issues to appropriate existing channels for investigation and resolution.
  • Works with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
  • Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
  •  Perform other related duties, reviews or tasks requested by Management


Bourse Securities Limited

Job ID:



Compliance Officer







Employment Type:

Permanent Full Time




Job Requirements

Minimum Qualification and Experience
  • 3 – 5 years’ experience in Accounting, Finance, Auditing, Law or Business Management
  • First degree in Business, Accounting or other Finance related discipline from an accredited tertiary institution.
  • Professional certificate/training is an added advantage.
  • Excellent computer skills (Minimum MS Word and MS Excel, Power point)


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