Compliance Officer at Spok Capital Limited
Spok Capital Limited is a client-focused financial Services company, licensed by the Securities & Exchange Commission. We offer wide range of financial, investment and advisory services to meet specific needs of our clients.
We are recruiting to fill the position below:
Job Title: Compliance Officer
- Preserve the company’s integrity by making sure it stays on a lawful and ethical course
- Develop and oversee control systems to prevent or deal with violations of legal, regulatory guidelines and internal policies
- Evaluate the efficiency of control systems and improve them continuously
- Prepare regulatory reports in a timely manner and interact with regulators on compliance issues.
- Revise procedures and reports periodically to identify hidden risks or non-conformity issues.
- Draft, modify and implement company policies.
- Collaborate with corporate counsels and other departments to monitor enforcement of standards and regulations
- Developing policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation
- Coordinating internal compliance review and monitoring activities, including periodic reviews of departments.
- Independently investigate and act on matters related to compliance
- Work with the Company secretary and legal counsels on matters related to board governance and other board related issues
- Assess the business’s future ventures to identify possible compliance risks
- Review the work of colleagues when necessary to ensure that both regulatory and internal compliance issues are adhered to
- Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control.
- Providing strategic direction to the management team on compliance
- Preparing and presenting clear and concise compliance reports to the Board.
- Coordinating efforts related to audits, reviews, and examinations
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