SENIOR COMPLIANCE OFFICER SKILLS, EXPERIENCE, AND JOB REQUIREMENTS

Updated: Jan 01, 2025 - The Senior Compliance Officer possesses extensive knowledge of Repo, Foreign Exchange, Swaps, and Structured Products, essential for managing complex financial instruments. Equipped with proven leadership skills and the ability to work collaboratively across global teams, including EMEA, the officer excels in fast-paced, deadline-driven environments. The role requires a self-starter attitude and strong problem-solving skills, ensuring regulatory changes are seamlessly integrated and multiple sensitive projects are handled with utmost confidentiality.

Essential Hard and Soft Skills for a Standout Senior Compliance Officer Resume
  • Regulatory Compliance
  • Risk Management
  • Financial Analysis
  • Legal Research
  • Data Privacy
  • Audit Procedures
  • Reporting Techniques
  • IT Proficiency
  • Policy Development
  • Compliance Software Mastery
  • Leadership
  • Communication
  • Problem Solving
  • Attention to Detail
  • Integrity
  • Team Collaboration
  • Adaptability
  • Proactivity
  • Stress Management
  • Negotiation Skills

Summary of Senior Compliance Officer Knowledge and Qualifications on Resume

1. BA in Finance with 7 Years of Experience

  • Excellent interpersonal, communication (written and presentation) skills and organizational abilities are essential 
  • Ability to liaise professionally and with diplomacy across all levels of staff in clear and succinct manner. 
  • Ability to build relationships and trust especially with senior Investment Banking staff.
  • Expert knowledge of EMEA /regulatory environment including MAD, MiFID, Dodd-Frank, EMIR, SFTR, FX Global Code, Money Market Code.
  • Excellent knowledge of Repo, Foreign Exchange, Swaps and Structured Products .
  • Proven ability to work in global teams across multiple regions including EMEA.
  • Team working and Leadership - proven track record of working collaboratively across multiple business lines and with stakeholders and colleagues at all levels but also of taking the lead as needs dictate. 
  • An ability to motivate team members for common progress
  • Self-starter who is proactive and with a demonstrated ability to drive through regulatory change.
  • Ability to manage multiple requests for information and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment.
  • Problem solving skills, demonstrated ability to identify key issues, and obtain appropriate information for further analysis.
  • IT literate - including Microsoft

2. BA in Law with 10 Years of Experience

  • Regulatory or SRO experience
  • Investment Compliance or Regulatory experience
  • Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
  • Working knowledge of on-site compliance testing for SEC Rules 206(4)-7 and 38a-1.
  • Demonstrated ability to maintain confidentiality of sensitive information.
  • Ability to identify and analyze the complex global regulatory issues and their effect on the firm’s business.
  • Demonstrated ability to work effectively with a wide variety of individuals throughout the organization, including senior management and investment professionals.
  • Intuitive, energetic, and self-motivated with a high bias for action.
  • Excellent writing and research skills.
  • Excellent organizational skills.
  • Computer skills including MS Office, Outlook and Excel.

3. BA in Business Administration with 12 Years of Experience

  • Demonstrated ability to work effectively with a wide variety of individuals throughout organization, including investment professionals
  • Ability to work collaboratively with colleagues located at affiliated Morgan Stanley entities and offices
  • Intuitive, energetic, and self-motivated with a high bias for action
  • Excellent writing and research skills
  • Excellent organizational skills
  • Computer skills including MS Office, Outlook, Excel, and SharePoint
  • Experience in cross border AML, financial crime prevention, sanctions compliance functions, preferably payment, cross border financial services or FinTech industry.
  • In-depth knowledge in local regulations and b2b payment practices in EU countries.
  • Degree in law, finance, economics, or business-related disciplines
  • Proficiency in written and spoken English and Dutch.
  • Strong communication skill
  • Willing to learn and able to work under pressure

4. BA in Accounting with 8 Years of Experience

  • Securities industry-related experience, with the majority of it in investment advisory compliance
  • Understanding of derivatives and options strongly 
  • Experience reviewing marketing, advertising, and sales materials in financial services industry strongly 
  • Knowledge of Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) regulations effecting Commodity Trading Advisors (CTAs) or Commodity Pool Operators (CPOs) preferred
  • Knowledge of the SEC and securities law, especially the Investment Advisers Act of 1940 and the Investment Company Act of 1940
  • Knowledge of the SEC disclosures and securities law, especially the Investment Advisers Act of 1940 and the Investment Company Act of 1940 
  • Interest in and/or understanding of quantitative, rules-based investment strategies
  • Working knowledge of on-site compliance testing program
  • Demonstrated ability to maintain confidentiality of sensitive information.
  • Ability to identify and analyze the complex regulatory issues and their effect on the firm’s business
  • Previous experience with compliance surveillance applications and tools such as Charles River, Aladdin, and Global Relay
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