Compliance Executive

Job Responsibilities
  • Coordinate and prepare periodic integrity & compliance reports/updates to the relevant management committees, board committees and other stakeholders.
  • Undertake other tasks and responsibilities as instructed by the DRO
  • Caring responsibility for compliance issues for specific countries
  • Administering all aspects of risk policy and process
  • Maintaining and updating of company Compliance database
  • Covering FI/Investment clients, KYC/AML, investor/investment screening, FATCA and CRS expert/PPOC
  • Following procedures consistently and maintaining audit trails for all AML/ KYC actions taken
  • Monitoring of AML / KYC standards as directed Participating in meetings with global teams to suggest improvement initiatives
  • Trigger Know-Your-Customers (KYC) review and prepare/compile relevant documents to support/validate KYC information update with the latest and accurate information in accordance with compliance KYC standard procedure.
  • Preferably 3 years of experience in related experience
  • Preferably candidate with Corporate Secretarial knowledge
  • Possess extensive experience in investor client services in related industry or business/service solution vendors
  • Min diploma/degree in Law or related fields
  • Excellent Analytical skills and decision-making skills
  • Understanding of advanced business planning and regulatory issues
  • A solid grasp of data analysis and performance metrics
  • Excellent verbal and written communication skills