PR/095069 | Executive Director - Compliance

• Monitoring of regulatory updates and changes, and assessing the implications to the Company's Business

• Review existing workflows and update, draft and develop and/or implement or review policies and procedures

• Provide constructive advice and proposals to Business and Management in order to improve effectiveness and efficiency of business from the perspective of Compliance and activate those practically.

• Handle anti-money laundering related matters

• Perform regulatory reporting to various stakeholders including parent company and affiliates and compliance monitoring checks

• Develop and Conduct compliance training programs

• Generating reports for internal and external stakeholders

• Liaise with both internal and external auditors and Regulators, as requested

• Perform transaction monitoring and guide team members sufficiently on performing monitoring and review their observations

• Implementing the Compliance Monitoring Plan on a Quarterly basis and ensuring the robustness of the same

• Ensure proper documentation and audit trail of compliance related matters

• Advising ALL business units from a compliance perspective

• Assist with the implementation of compliance initiatives and projects

• Communicate promptly relevant information to Head Office 

• Cooperate with Private Wealth Business and assist them in relation to aligning with Group policies 

• Coordinate with Private Wealth Business in preparing Entity-Wide assessment reports 

• Monitor daily activities including monitoring, checking approved trades of the Private Wealth Business and give them adequate advice and warning when necessary.

• Provide support to prepare various agreements as required.

• Assist in all matters as requested from time to time.

• Report to Head of Compliance Officer (HOC) and co-work with HOC to achieve a strong Compliance culture in the Company.

Job Requirements

• Bachelor’s degree or equivalent

• At least 10-15 years’ experience in compliance, legal or other controls related function in the financial services industry

• Highly motivated team player

• Strong analytical, communication, presentation and people skills, ability to influence and collaborate with people across different cultures and backgrounds

• Adaptable, resilient and passionate about making a difference