Assistant Manager - Compliance

Responsibilities:

• To ensure compliance monitoring and surveillance of consultant activities and business practices.
• To review unusual transaction patterns, consultant conduct and potential regulatory breaches.
• To assist in investigations relating to complaints, misconduct and compliance matters.
• To support AMLA/CFT and sanctions screening reviews.
• To assist in regulatory reporting, compliance reviews and policy implementation.
• To maintain compliance records and documentation.

Requirements:

• Interested candidate must have at least a Degree in Law, Finance, Accounting, Business Administration, Economics, Risk Management or equivalent to the same.
• Professional certifications or qualifications related to Compliance, AMLA/CFT, Risk Management or Financial Services would be an added advantage.
• Minimum 5 to 8 years of relevant working experience in Compliance, AMLA/CFT, Risk Management, Internal Audit, Investigations or Regulatory Compliance.
• Experience within the Asset Management, Unit Trust, Capital Markets or Financial Services industry will be added advantage.
• Strong analytical, investigative, problem solving and report-writing skills.
• High level of integrity, professionalism and attention to detail.
• Able to work independently while managing multiple priorities and meeting deadlines in a fast-paced environment.