Senior Compliance Officer

About the job

Required Experience: Minimum 4 Years in Securities Compliance or Trading Oversight.

Entity Type: Licensed Securities Brokerage Firm / Investment Bank.

Position Objective

To execute daily surveillance and compliance protocols, ensuring that all trading activities and client onboarding processes strictly adhere to the Egyptian Capital Market Law and the Financial Regulatory Authority (FRA) executive regulations.

2. Technical Responsibilities (Surveillance & Compliance)

A. Trading Surveillance

• Alert Investigation: Investigate high-frequency trading alerts or unusual price movements triggered by the firm’s internal surveillance systems.
• Insider Trading Checks: Cross-reference client trades with "Insiders Lists" (Board members or executives of listed companies) to prevent illegal use of non-public information.

B. Operational Compliance & AML

• KYC Quality Control: Perform high-level reviews of Know Your Customer (KYC) files for high-net-worth or institutional clients, ensuring all "Beneficial Ownership" documentation is verified.
• Anti-Money Laundering (AML): Screen clients against international and local "Sanctions Lists" and report any suspicious transactions (STRs) to management.

C. Reporting & Audit Support

• Regulatory Filings: Prepare the technical data and documentation required for the Monthly Compliance Report submitted to the FRA and the Egyptian Exchange (EGX).
• Internal Audits: Conduct periodic "Spot Checks" on the Back Office departments to ensure adherence to internal "Code of Ethics."
• FRA Inspection Liaison: Assist in gathering all necessary registers and documents (such as the Complaints Register during official FRA field inspections.

Experience must be within a Brokerage Firm, Asset Management, MCDR, or a Bank's Investment Department.