Compliance Executive

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Responsibilities

1. Review and approve risk assessment of new and existing clients, advising on ongoing monitoring and changes to risk ratings as required under compliance policies and procedures.
2. Review and approval of high risk clients including Politically Exposed Persons (PEPs) and other high risk (OHR) clients.
3. Conduct client file reviews and sampling checks.
4. Provide first level compliance advisory to business units.
5. Conduct name screening of clients and related parties using World Check.
6. Prepare and file Internal Suspicious Transaction Reports to the relevant jurisdiction Compliance Officers.
7. Act as first point of contact to the business units on matters in relation to Financial Crime Prevention (“FCP”).
8. Work with jurisdiction Compliance Officers to handle inquiries from competent authorities in relation to FCP.
9. Assist the jurisdiction Compliance Officers in preparation of FCP reports for reporting to the Board of Directors and other governance committees.
10. Assist Compliance Team Lead on updating of internal compliance procedures where necessary.
11. Provide first level compliance support to the business units on compliance procedures.
12. Assist the jurisdiction Compliance Officers on inspections and inquiries from any regulatory body.
13. Work with Group Internal Audit on any internal audit inspections.
14. Filing of compliance related records in compliance team sharepoint drive and client database system.
15. Participate in Group projects and committees, where possible.
16. Work with Compliance Team Lead to implement initiatives on process improvements within the Compliance department.

Requirements

1. Bachelor’s degree or equivalent, preferably in Finance or Accounting.
2. At least 2 years experiences in AML/CFT roles.
3. ACAMS or ICA qualification will be added advantage.
4. Self-starter with positive mind set to work in any challenging situations.
5. Strong proficiency with MS 365 applications such as PowerPoint, Excel, Word, Sharepoint.

Company Information

Registration No. 201501017872

Your application will include the following questions:

1. What's your expected monthly basic salary?
2. How many years' experience do you have as a Compliance Executive?
3. Are you willing to undergo a pre-employment background check?
4. How much notice are you required to give your current employer?
5. How would you rate your English language skills?

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