Our client is seeking to recruit for a Compliance Executive to join the team.
Duties include:
Assisting the Compliance Department in the Company’s implementation, and maintenance of policies and procedures to ensure compliance with its ongoing regulatory obligations;
Assisting with the implementation of the Group’s compliance monitoring program
Liaison with all other departments within the Group on compliance, including anti-money laundering and financing of terrorism matters;
Assisting with the completion and filing of annual statutory filings (REQ, ACR, etc.);
Assisting with the co-ordination of any regulatory audit, inspection or visit
Assisting with periodic customer file reviews;
Reporting regularly to the Group’s MLRO and Compliance Officer on all matters relating or pertaining to compliance including anti-money laundering and financing of terrorism matters
Challenging existing practices and procedures and making recommendations to management in accordance with industry best practice.
Requirements
A good understanding of the TCSP industry and its regulatory framework
