Our client is urgently looking for a suitably qualified Compliance professional to join their team in the private wealth space.
AVP/VP, Compliance Testing & Control
Responsibilities :
- Reports to Head of Private Wealth Compliance, APAC
- Checks adherence to framework, policies, procedures and manuals of Private Wealth.
- Provide regulatory advise to stakeholders in relation to Private Wealth Compliance.
- Works closely with the other team members in maker/checker tandems
- Performs quality checks for AML/CFT/Sanctions: KYC onboarding and periodic review, clearance of alerts in screening and monitoring tools.
- Reviews and assesses transactions against ML/FT/Sanctions and market manipulation risks.
- Performs controls of personal account dealings, gifts & entertainments, cross-border, email monitoring, accredited investor status, and other relevant control parameters
- Handles the filing and archiving of documents in relation to Monitoring & Testing
- Liaises with external vendors for testing tools matters
- Performs reviews of parameters and functionalities of monitoring systems
- Prepares training materials and delivers training
- Prepares documents (control, memos, etc) for submission to management
- The position may offer exposure to other areas of compliance (AML/CFT/Sanctions/ABC
,investigations) as well as other ad hoc tasks.
Requirements :
- Degree in Finance, Banking or any relevant discipline
- 5-8 years of relevant experience in Compliance monitoring in private banking/ wealth management space
- Meticulous, team player with strong stakeholders' management skills
Interested applicants are invited to write in with full resume to [email protected].
We regret that only shortlisted candidates will be notified.
EA License No. 16S8296 • EA Personnel Registration No. R21102756
