Compliance Manager

RESPONSIBILITIES

• Directing compliance issues to appropriate departments for investigation and resolution. 
• Ensuring processes and procedures are adequate to meet regulatory requirements. 
• Implementing the Anti-Money Laundering (APU)/Prevention of Terrorism Financing (PPT) program including the implementation of monitoring AML/CFT activities and ensuring timely AML/CFT reporting. 
• Responding to regulatory inquiries from the authorities, especially regarding AML/CFT. 
• Implementing compliance programs. 
• Participating in compliance testing reviews. 
• Developing effective lines of communications between different teams. 
• Rolling out company-wide compliance policies and standards.
• Collaborates on compliance & quality initiatives/projects within the segment and enterprise levels.
• Prepares compliance reports in conjunction with the Head of Compliance.
• May also engage with and/or perform oversight of external vendors to ensure compliance with regulatory and internal Group standards.

REQUIREMENTS

• Candidate must possess at least a Bachelor's Degree from reputable universities.
• Has a valid Capital Market Professional Certification license.
• Have a minimum of  5 years of working experience in the related field is required for this position in securities industry
• Excellent oral and written communication skills in English (including strong presentation skills).
• Highly proficient in MS Office (especially in Excel, word, and PowerPoint).
• Willing to work hard, enthusiastic, and self-motivated.
• Able to work in a fast-moving and demanding environment.
• Strong commitment, multi-tasking, and team player.