Our clients are seeking for motivated and experienced individuals to provide advisory and with responsibility for formulating testing plan and Compliance Monitoring framework AML/KYC. You will perform 2nd line of defence testing on investment suitability, pricing, cross border and the compliance’s process relating to PA Dealing, G&E, licensing, Regulatory Obligation Register etc. Report on findings including identified root causes and remediation required.
You will lead and support any regulatory inspection, follow up on inspection findings, prepare management report and represent compliance department in committees or meetings as designated by Head of Compliance. Sensitive to business needs, you demonstrate strong interpersonal skills and commitment to promote and foster compliance culture.
To qualify for the role, you should possess strong understanding of the Wealth Management business with min of 10 years’ experience in compliance, audit or related field. A recognized University degree in Accounting, Law, Risk Management and / or related discipline. Sound knowledge of rules, regulations and statutory requirements. The ideal candidate should be a self-motivated individual with good communication skills, analytical and presentation skills. Interested applicants, please reach out to me at email@example.com . Your interest will be treated with the strictest confidentiality
EA Licence No: 16S7973
EA Reg No. R1105493