Position Objective

To ensure that the overall risk & compliance frameworks specifically under internal processes and procedures, regulatory, statutory, group guidelines is acceptable and there is full compliance to the same within the organization, for assurance of business continuity.

• Develop and supervise strategies for the effective management of compliance risks.
• Maintain the awareness of compliance to the applicable laws and regulations through the provision of regular communications, and knowledge sharing process.
• Develop and maintain monitoring programs to assist in the detection of compliance risks and recommend practical risk-mitigation actions to ensure that compliance risks are promptly addressed.
• Assist in the investigation of complaints involving market misconduct.
• Advise on agency’s advisor contracting related matters.
• Prepare the internal and external report including liaising with internal/external counterparts for its the timely and accurate submission.
• Assist the establishment of Business Continuity Management Plan for the company.
• Review new business opportunities to ensure that compliance risks are identified and proper controls are established within the business.
• Monitor the implementation of regulatory compliance related policies and procedures including Anti-Money Laundering & Terrorist Financing, Anti-bribery & Corruption, Record Management, Privacy, etc.

Minimum Job Requirements

• University degree in a business-related field or its equivalent.
• At least 5 years’ experience in Risk & Compliance within Banking or Financial Services Sector
• Postgraduate or professional risk management qualification desirable.
• A Certified Anti-Money Laundering Specialist qualification will be an added advantage.