about the company
A Financial Institution is seeking a Compliance VP/SVP to support their investment banking business. As a key member of the compliance team, your role is to implement and carry out an effective compliance programme across the business.
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about the job
Your scope of duties will include:
- Advise and support on all AML/CFT and compliance matters to ensure the business is operating in accordance with all relevant laws, regulations, policies and procedures
- Monitor and keep abreast of all regulatory changes pertaining to Securities Futures Act (SFA), Financial Advisers Act (FAA) and ensure that relevant stakeholders and management is kept informed of any material impact
- Identify, anticipate and assess actual and potential compliance risks and ensure adequate controls are in place to mitigate these risks
- Liaison with external regulators, authorities and auditors
- Develop and implement a robust compliance monitoring programme
- Ensure that regulatory reporting is carried out in a timely and orderly manner
- Conduct training on all compliance matters to management and staff
skills and experience required
- Bachelor’s degree from a recognised institution
- Minimum 10 years of relevant compliance experience from reputable Financial Institutions
- Comprehensive knowledge of business standards, policies and procedures in a financial/banking environment
To apply online please use the 'apply' function, alternatively you may contact at .
(EA: 94C3609/ )
