Job Duties

• Reports to the Head, Group Compliance
• Develop, implement and maintain comprehensive, streamlined and practical work processes, procedures and systems for the purposes of implementing legal and regulatory compliance policies and procedures across the Group
• Executing the client account opening process for the Group
• Ensuring the Group’s AML and account opening documentation requirements are met and in place prior to opening of any client account
• Assisting in the development of an efficient and robust account opening process and system to meet the Group’s legal and regulatory compliance and controls requirements in relation to client account opening and KYC documentation
• Undertake supervisory and advisory roles in regards to SFA and treasury compliance
• Undertaking database checks on clients in accordance with Group policy
• Assisting business unit and local compliance teams with business and client queries in relation to the account opening documentation and/or process
• Resolving or assisting in the resolution of account opening and/or KYC issues raised by the business unit or other departments 
• Responding to regulatory and audit information requests in relation to client account opening documentation and/or process
• Plan, manage and undertake Group Compliance projects which may be assigned by the supervisor from time to time.

Requirements

• An applicable degree with not less than 7 years of financial services compliance, compliance operations, controls or audit experience.
• Working experience with an investment bank, equity brokerage, asset management company, international audit firm, or financial services regulatory body will be an advantage.
• Experience in leading compliance teams in a financial institution setting
• be a strong team player
• have excellent verbal/written communication skills and interpersonal communication skills;
• written and spoken fluency in English, both written and verbal;
• be willing to travel up to 10% of the time.

Interested candidates please quote ref. no. L-COM-121 and send your detailed resume to miles@recruit-legal.com