Careers at Orbex
Orbex aims to be a great place to work, matching passionate, committed people with work they enjoy. We're looking for talented intellects who enjoy being part of a tight-knit team, are willing to go the extra mile and who genuinely thrive on solving problems, helping people and underpinning great customer service.
If you are enthusiastic, talented specialist, looking for new professional highs and exciting growth opportunities, please send us your CV and Cover Letter to Orbex HR department firstname.lastname@example.org
Department - Position
Compliance Officer - Main responsibilities
- Liaising with all relevant business and support areas within the Company.
- Monitoring the adequacy and effectiveness of the Company’s measures and procedures.
- Advising and assisting the persons responsible for carrying out investment services in compliance with the Law.
- Drafting written reports to Senior Management and the Board, making recommendations, and indicating whether the appropriate remedial measures have been taken in the event of any deficiencies. These reports will be presented to the Board and discussed during meetings, at least on an annual basis.
- Working on changes to the Company’s documentation.
- Training and educating the Company staff with respect to the compliance function according to the Law.
- Communicating the relevant statutes of the IOM to each employee and notifying them of any changes therein that relate to his/her role and responsibilities in the Company.
- Ensuring that the Executive Directors or other hierarchically higher officers do not exercise inappropriate influence over the way in which a relevant person carries out the provision of investment and ancillary services.
- Developing, designing and re-designing the appropriate procedures of the Company so as to prevent and resolve potential conflicts of interest.
- Ensuring that all the procedures regarding the Company’s conflict of interest policy are in place, as well as establishing and maintaining Chinese Wall procedures between the various organizational units of the Company. Regular checks will be performed to ensure the latter.
- Ensuring that all employees can identify cases of potential conflicts of interest.
- Deciding whether to allow a transaction after being informed of a potential conflict of interest situation by members of staff, then notifying clients.
- Disclosing to clients or potential clients the general nature and any potential conflicts of interest.
- Keeping records regarding conflict of interest situations, where relevant.
- Consenting to and approving the Company’s Replacement Policy.
- Establishing measures in connection with personal transactions and notifying relevant persons of the restrictions on personal transactions.
- Monitoring and reviewing the dispatch to clients of the confirmations/notifications regarding the execution of their orders, as applicable.
- Ensuring that all relevant information is included in the Company’s outsourcing agreements.