Senior Compliance Officer

Key Responsibilities

• Develop, implement, and maintain compliance policies, procedures, and frameworks in accordance with applicable laws and regulations.
• Provide compliance advisory and guidance to management and business units to ensure regulatory adherence.
• Monitor regulatory developments, analyze regulatory changes, and assess their impact on business operations.
• Conduct compliance risk assessments, internal reviews, and compliance monitoring activities.
• Prepare regulatory reports, disclosures, and submissions to regulators and senior management.
• Liaise with regulators and internal stakeholders on compliance-related matters.
• Drive digital transformation initiatives within the Compliance function by identifying opportunities to implement automation, AI technologies, and data analytics to improve operational efficiency, compliance monitoring, and reporting.
• Perform other duties as assigned by management.

Qualifications

• Bachelor’s degree or higher in Law, Business Administration, Finance, Accounting, Economics, or a related field.
• A law degree will be an advantage.
• Minimum of 3 years of experience in Compliance, Legal, Risk Management, or Internal Control within a securities company or financial institution.

Required Skills and Competencies

• Strong understanding of securities business operations and regulatory requirements.
• Solid knowledge of AML/CFT laws and regulations.
• Strong analytical skills with the ability to interpret laws and regulations effectively.
• Excellent communication and interpersonal skills, with the ability to work collaboratively across business units.
• High level of integrity, attention to detail, and professional judgment.
• Experience in utilizing or implementing automation tools, AI solutions, or data analytics to improve compliance, risk management, audit, or operational processes will be a strong advantage.
• Technology-driven mindset with a passion for leveraging digital tools and innovative solutions to enhance compliance operations and drive continuous process improvement.