Primary role and functions are as follows:
- Conduct audits on sales and advisory documents.
- Collate audit findings and prepare comprehensive reports.
- Recommend and track completion of remedial actions as required after audit functions, or for completion of sales and advisory documentation.
Secondary role and functions are as follows:
- Manage complaints in-line with company policies and regulatory requirements.
- Conduct of AML screening and reporting.
- Support ad-hoc activities and assigned projects pertaining to compliance functions.
Requirements:
- Diploma and above in Business Administration, Finance, Accounting, or a related field.
- Minimum 1 year and above in a similar role.
- Familiarity with AML processes and regulations is a plus.
- Relevant Financial Advisory experience and hold a M5 qualification is a plus.
- Strong proficiency in Microsoft Excel, including data entry, analysis, and report generation.
