Legal & Compliance Executive

BRS is a pioneering stock broking firm, offering a range of services including Equity Investment, Portfolio Management, Equity Research, and Online Trading. We cater to the investment needs of both local and foreign investors, facilitating trades on equity and debt listed on the Colombo Stock Exchange (CSE). As a licensed stock broking firm by the Securities and Exchange Commission of Sri Lanka (SEC) and a registered member firm with the CSE, we provide a platform for growth and learning.

We are searching for a motivated Legal & Compliance Executive to assist in our business processes and transactions adhering to all relevant legal and internal-external guidelines.

Reporting to the Legal & Compliance Officer, the ideal candidate will be professional, highly-analytical, and possess excellent written and verbal communication skills. We believe that in order to be successful in this role, you should be interested in tasks related to risk management and our industry’s regulatory framework.

Responsibilities:

• Assist to manage an effective legal compliance program.
• Monitor debtor – creditor activity with Finance Division
• Monitor daily transactions and random sampling by surveillance
• Be a key contact for document management.
• Provide assistance for regulatory audits.
• Provide assistance for internal audits
• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Assess company operations to determine compliance risk.
• Assist in conducting orientation training and ongoing training.

Requirements:

• Studying for a professional and/or academic qualification in law, finance, accounting, business management or a related field. (School Leavers who are willing to obtain a career in Law are also encouraged to apply)
• Some knowledge of compliance requirements and procedures.
• Good oral and written communication skills.
• Highly-analytical with strong attention to detail.
• Excellent computer literacy
• Be a team player
• Adhere to strict deadlines.
• Ability to methodically break down complex tasks into simple ones and to ensure satisfactory resolution of each.

How to Apply:

Interested candidates are encouraged to submit their resume along with a cover letter detailing their relevant experience and qualifications to upul@bartleetreligare.com.  Please include “Legal & Compliance Executive” in the subject line. The application deadline is 24^th January 2024.

Please note that only shortlisted candidates will be contacted.