Compliance

• This role will report to the Deputy Head of Compliance and work closely with business, technology, marketing, and legal teams to conduct compliance assessments and provide compliance and risk mitigation requirements for the organization
• Proactively identifying and communicating deficiencies or gaps with regulatory compliance; providing guidance in the development of alternative solutions or implementation of corrective action
• Provide full support on all regulatory and compliance matters, including periodic reporting and submissions to the Regulator
• Maintain accurate and up-to-date records of regulatory obligations and submissions
• Filing of internal SARs/STRs and others as required
• Assist in outsourcing compliance in accordance with prevailing regulations
• Assisting in ensuring AML programs are in line with current industry best practices and both efficient and effective in terms of internal controls
• Conducting compliance risk assessment programs, e.g., Anti-Money Laundering (“AML”) risk assessment and Privacy Risk assessment
• Support the development and enhancement of compliance policies, procedures, and controls to meet regulatory standards
• Maintain the Company’s regulatory and compliance documents, which include, amongst other things, the Company’s KYC and AML policies and procedures to ensure they are up-to-date and comply with the Company’s as well as regulatory requirements
• Support compliance-related projects, including policy reviews, audits, and gap analyses
• Assist in the design and implementation of process improvements to enhance compliance effectiveness
• Provide compliance input and oversight on new business initiatives, products, or services
• Provide compliance guidance to business units to ensure alignment with regulatory and internal requirements
• Participate in compliance training and awareness initiatives across the organization
• Assist in responding to internal and external audit requests

Regulatory Compliance Officer

Regulatory Affairs Specialist – APAC

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Compliance Officer

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