Compliance Officer

We are a well-established stock broking company regulated by the securities and exchange commission of Sri Lanka (SEC) and the Colombo stock exchange (CSE). We are seeking a competent, detail-oriented, and proactive compliance officer to strengthen our regulatory and governance framework.

Key responsibilities

1. Ensure ongoing compliance with all applicable SEC, CSE, CBSL FIU and CDS rules, regulations, and directives
2. Monitor, review, and update internal policies, procedures, and compliance controls
3. Prepare and submit regulatory returns and manage correspondence with regulators
4. Conduct compliance reviews, risk assessments, and internal compliance audits
5. Advise the board and management on regulatory developments, obligations, and best practices
6. Support AML/CFT compliance, KYC, and client due diligence processes
7. Identify compliance gaps and recommend corrective actions
8. Conduct compliance awareness and training programs for staff

Candidate profile

1. Bachelor’s degree in law, finance, accounting, business management, or a related discipline
2. Professional qualifications in compliance, risk management, or AML/CFT will be a distinct advantage
3. Minimum 2–3 years’ experience in a compliance role within a stock broking company or a regulated financial institution
4. Sound working knowledge of the SEC act, CSE rules, CDS rules, and AML/CFT regulatory framework
5. Strong analytical, communication, and report writing skills
6. High standards of integrity, independence, and attention to detail
7. Ability to work with minimal supervision and meet regulatory deadlines

We offer

1. An attractive and competitive remuneration package
2. Exposure to a professional and well-regulated capital markets environment
3. Opportunities for career progression and continuous professional development

When applying

Please email your comprehensive CV, together with the names and contact details of two non-related referees.