Manager, Compliance & Audit

Registered broker-dealer seeks an industry professional to lead regulatory compliance and internal audit functions. The role requires deep knowledge of local securities regulation, direct experience with the regulators and the judgement to operate independently.

Job Title:           Manager, Compliance & Audit 

Reports to:      Chief Executive Officer | Chair, Board Audit Committee

Position Profile

The Company is a registered broker-dealer operating in Trinidad & Tobago’s capital markets. The Manager, Compliance & Audit plays a critical role in safeguarding the firm’s regulatory standing and operational integrity, serving as The Company’s primary interface with the Trinidad and Tobago Securities and Exchange Commission (TTSEC) and the Financial Intelligence Unit (FIU). This is a senior, dual-function leadership role responsible for building and maintaining a robust compliance and internal audit framework across all business activities, with direct accountability to the C.E.O. and a functional reporting line to the Board’s Audit Committee. The successful candidate will bring deep knowledge of local securities regulation, sound judgement, and the professional independence required to operate effectively in a regulated broker-dealer environment.

Key Responsibilities

Compliance Management

• Develop and oversee comprehensive compliance programs aligned with securities industry regulations, AML/CFT requirements, and all internal policies
• Serve as primary liaison with regulatory bodies including the Securities and Exchange Commission and Financial Intelligence Unit
• Monitor and analyze regulatory changes, assessing impact on operations and implementing necessary adjustments
• Review and approve client onboarding, deal proposals, and other compliance-sensitive operations
• Monitor clients, staff and service providers in accordance with policies and procedures
• Maintain up-to-date compliance documentation, policies, and procedures
• Investigate and report on compliance breaches, recommending corrective actions

Audit Execution

• Develop and execute risk-based annual audit plans approved by the Board
• Conduct internal audits of all business functions, evaluating control effectiveness
• Coordinate with external auditors and manage regulatory examinations
• Monitor implementation of audit recommendations and corrective actions
• Prepare audit reports for senior management and Board review
• Supervise record retention and disposal programs

Training and Communication

• Design and deliver compliance and audit training programs for all staff levels
• Maintain compliance manuals for different business areas
• Communicate regulatory changes and compliance requirements across the organization
• Provide guidance on compliance matters to all departments

Risk Management

• Identify and assess compliance risks across business activities
• Review new products, services, and processes for compliance implications
• Monitor suspicious activities and transactions
• Ensure adequate systems and controls are in place to mitigate risks

Skills and Qualifications

Required

• Bachelor's degree or professional qualifications in Law, Accounting, Finance, or related field
• Minimum 5 years’ experience in compliance and/or audit roles within financial services, with at least 2 years in a senior or lead capacity
• Advanced knowledge of securities industry regulations and AML/CFT requirements
• Strong analytical and investigative skills
• Excellent written and verbal communication abilities
• Proven ability to manage multiple priorities and deadlines
• Working knowledge of the TTSEC regulatory framework, AML/CFT legislation, and FIU reporting obligations in Trinidad & Tobago
• Demonstrated experience managing or supervising a team

Preferred

• Professional certifications in compliance or audit
• Experience with broker-dealer operations
• Post-graduate qualifications or advanced certifications in compliance, audit, law, or finance

Core Competencies

• Leadership and decision-making capability
• Integrity and ethical conduct
• Attention to detail
• Strong interpersonal skills
• Problem-solving ability
• Discretion with confidential information

Performance Measures

• Regulatory compliance status
• Audit findings and resolution rates
• Effectiveness of compliance programs
• Quality of regulatory relationships
• Staff training completion rates
• Timeliness of reporting and filings

NB:

-          This description outlines key responsibilities but is not exhaustive. The position holder will be expected to perform other related duties as required.

-          The salary range shall be commensurate with experience and qualifications.

-          Salary range: TT$18,000 – TT$23,000 per month, dependent on experience and qualifications.