Compliance Officer (Manager Level)

This role leads the independent compliance function for a licensed Primary Dealer, ensuring adherence to CBSL Directions and all applicable statutory and regulatory requirements, including AML/CFT. The position serves as the primary liaison with key regulatory bodies such as the CBSL, SEC, CSE, and FIU, overseeing examinations, approvals, and the timely submission of regulatory returns. The Compliance Officer is responsible for monitoring compliance with primary dealer obligations, prudential requirements, and market conduct rules while driving a strong compliance culture through training and risk-based monitoring programs.