Role Summary
The selected candidate will support the Compliance team in general compliance duties including but not limited to marketing materials review, financial crime matters, managing conflicts of interest such as personal account dealing, regulatory filings, routine compliance monitoring/checks and compliance monitoring programme.
Key Duties and Responsibilities
- Assist in client-onboarding, clearance of screening alerts and periodic AML/CFT documentation
- Assist in review of marketing materials for both retail and institutional clients to ensure compliance with regulatory requirements and firm's policy
- Assist in managing conflicts of interest including but not limited to personal account dealings, gifts and entertainment in accordance with firm's policies
- Routine compliance monitoring/checks as part of the compliance monitoring program
- Regulatory filings and/or reporting
- Assist with the preparation/ collation of documents for internal and external audits
- Update and maintenance of databases, spreadsheets, status tracking etc
- Preparing compliance reports to stakeholders
- Any other compliance duties and ad-hoc projects as assigned by the Head of Compliance
Education Qualification
Experience and Skills
- Minimum 3 years of experience in relevant function
- Familiarity with regulatory requirements in capital markets
- Good knowledge and hands-on experience in IT applications and macros.
- Able to take ownership, work independently and yet a good team player, embrace a collaborative and open working culture
- Good written and verbal communication
- Ability to work under pressure and timeline
