Senior Compliance Specialist

Job Description:

Our client is a leading financial institution committed to maintaining the highest standards of regulatory compliance, risk management, and ethical business practices. As part of their ongoing efforts to strengthen our compliance framework, they are now seeking a detail-oriented Senior Compliance Specialist to support their regulatory initiatives, policies, and risk controls. This position requires strong knowledge of regulatory requirements, risk assessment methodologies, and compliance monitoring. The ideal candidate will have experience in financial services compliance, excellent analytical skills, and the ability to collaborate with cross-functional teams to uphold regulatory standards.

Key Responsibilities:

Regulatory Compliance & Monitoring:

• Ensure adherence to local and international financial regulations, including AML/CFT, KYC, and data protection laws.
• Assist in monitoring and testing internal controls to assess regulatory compliance.
• Support regulatory reporting requirements and ensure timely submissions.

Policy Development & Implementation:

• Assist in drafting, reviewing, and updating compliance policies, procedures, and guidelines.
• Ensure employees understand and adhere to compliance policies through training and guidance.
• Conduct internal audits and gap analyses to identify areas for improvement.

Risk Management & Investigations:

• Identify, assess, and mitigate compliance risks within the organization.
• Support investigations related to suspicious transactions, regulatory breaches, or internal misconduct.
• Work closely with legal, risk management, and internal audit teams to address compliance concerns.

Training & Awareness:

• Assist in the development and delivery of compliance training programs for employees.
• Keep teams informed of regulatory changes and emerging compliance risks.
• Promote a culture of compliance and ethical business practices.

Liaison with Regulatory Bodies:

• Support communications with regulators, auditors, and other external stakeholders.
• Assist in responding to regulatory inquiries and inspections.
• Maintain documentation of compliance activities, regulatory filings, and audit reports.

Requirements:

• Bachelor’s degree in Law, Finance, Business, or a related field.
• Minimum 5+ years of experience in compliance, regulatory affairs, or risk management within a financial institution.
• Strong understanding of financial regulations, including AML, KYC, FATCA, and data privacy laws.
• Experience with compliance monitoring, internal audits, and risk assessments.
• Excellent analytical, problem-solving, and attention-to-detail skills.
• Strong communication and stakeholder management abilities.
• Proficiency in compliance-related software and regulatory reporting tools.
• Certification in compliance (e.g., CAMS, ICA, CRCM) is a plus.

EA Licence No: 23S1615