STARTASAP

DURATION4-6 months
The role of Investor Protection Specialist is crucial to ensure compliance with regulatory standards, particularly MiFID regulations, and to uphold best practices in investor protection. The ideal candidate will have a solid background in compliance within financial services, demonstrating both analytical capabilities and strong communication skills.

KEY REQUIREMENTS:

• Bachelor’s degree in Finance, Law, Business Administration, or a related field; a Master’s degree or relevant certifications (e.g., CAMS, CFA) is a plus.
• 5+ years of experience in compliance, financial services, and familiarity with MiFID.
• In-depth knowledge of investor protection laws and regulations.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills, with the ability to collaborate effectively with diverse teams.
• Proficient in using compliance management systems and tools.

• Develop, implement, and monitor compliance programs related to investor protection in accordance with MiFID regulations.
• Conduct assessments of potential risks to investors and recommend policies to mitigate those risks.
• Collaborate with cross-functional teams to ensure compliance with financial services regulations and internal policies.
• Serve as a key point of contact for regulatory authorities and manage inquiries related to investor protection.
• Provide training and support to staff on compliance-related issues and investor protection best practices.
• Prepare and maintain documentation for compliance audits and assessments.
• Analyze regulatory changes and assess their impact on company operations and compliance requirements.