This critical role reports to the Chief Compliance Officer. You are expected to act as the Business Unit Compliance Officer and work closely with various internal and external stakeholders.

Key Responsibilities

• Identify and advise on new and emerging risks from business and regulatory developments and assess their impact and application throughout the company
• Supervise the team to perform compliance examinations including quality assurance reviews, fraud, sales manipulation, market misconduct, complaint investigation etc
• Ensure that existing and impending regulatory compliance requirements, levels of risk and controls are appropriately identified, evaluated, understood, monitored and managed
• Provide and monitor compliance training for suitability and effectiveness and recommend remedial actions if required with follow up implementation
• Prepare reports to management and key stakeholders regarding the status of recommendations made as a result of monitoring review findings
• Lead in the implementation of certain key corporate policies and related regulatory requirements including those related to ABC, fraud, AML/CFT, personal data privacy etc
• Participate in a range of developmental projects, mainly focusing on procedures development, process improvement initiatives and enhancing the existing regulatory compliance controls

Key Requirements

• Bachelor's degree with law, business, banking, or other relevant discipline(s)
• Minimum 10 years’ compliance experience in the financial services industry
• Strong regulatory knowledge and excellent stakeholder management skills

All interested candidates, please apply now, and we will get in touch for a confidential discussion.

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EA Licence No.: 15S7496