Executive, Compliance

Job description

Role summary

We are looking for an Executive, Compliance in our Compliance & Control Unit to execute all compliance initiatives across the business. He/she shall be call upon to monitor the proper application of all compliance related policies and ensure that compliance oversight is efficient, and any breach or default escalated. The successful candidate will also monitor developments and suggest implementation plans.

Key responsibilities

  • Adherence to company and group policies on AML/CFT;
  • File reviews (including CDD review) – including Complex structures;
  • Design, Review & update formats of compliance reports;
  • Compile findings to include in Compliance KPI;
  • Draft guidance notes on flagged screening reports;
  • Assist in Ongoing monitoring as per Compliance Calendar including testing program;
  • Review and propose enhancements to compliance procedures;
  • Preparation of AML framework / Manual for financial services licensees;
  • Address queries on AML and compliance from other units;
  • Assist seniors in addressing queries from authorities;
  • Liaise with other client & group services;
  • Provide regular reports and feedback;
  • Reply to queries within agreed timeframe & deadlines;
  • Liaise with local authorities and maintain good rapport;
  • Work in team and support colleagues;
  • Take on ad hoc assignments and complete within agreed timeframe.


Skills / experience required

  • Degree in Finance, Accounting or Law and/or holding a recognized professional qualification;
  • At least 2-3 years of work experience in relevant field;
  • Good technical knowledge of applicable laws and regulations for the Global Business;
  • Well-developed up-to-date knowledge of AML/CFT issues;
  • Ability to work under pressure and deliver within agreed timelines;