Job Description
WE'RE HIRING 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, 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
- An attractive and competitive remuneration package
- Exposure to a professional and well-regulated capital markets environment
- Opportunities for career progression and continuous professional development
Please email your comprehensive CV, together with the names and contact details of two non-related referees, to [email protected] within 10 days of this advertisement publish date. www.acapstockbrokers.lk
ACAP Stock Brokers (Pvt) Ltd
No: 17, Laurie's Place, Colombo 04, Sri Lanka
Tel: +94 112 162 100 | +94 704 779 500
