We are looking for an experienced Compliance Manager to be responsible for ensuring adherence to regulatory and compliance requirements of the relevant governing Authorities.
Job Duties
- Establishes the Compliance department’s guidelines/policies and directs its technical and operational functions.
- Develops and executes a comprehensive Compliance program to evaluate the potential risk areas and management controls over all Company’s principal/secondary activities.
- Assess and review new regulatory changes and guidelines/policies and the impact it has on the Company’s internal policies and guidelines.
- Liaises with external parties such as the Authorities, external auditors etc during their course of inspection and in the collation, provision, submission of relevant information in the form of query/ies/questionnaire/surveys etc.
- Provide advice, guidance and on-going training to staff on the appropriate implementation of compliance framework which include policies and procedures such as those contained in the Compliance Manual, internal codes of conduct and practice guidelines.
- Act as Subject Matter Expert on AML/CFT issues.
- Act as the data protection officer (DPO) to oversee data protection responsibilities.
Required skills and experience
- Degree in Business, Accounting, Finance or relevant disciplines
- 5-6 years relevant experience in the banking and financial industry (audit, compliance testing or advisory background)
- Possess good understanding of the securities laws and regulations (e.g. Securities and Futures Act & Financial Advisers Act)
- Knowledge of financial products, markets and sales practices
- Able to manage a team and also works independently with minimum supervision
