compliance manager.

about the company

Our client is a Financial Institution seeking a highly motivated and experienced Compliance Manager to develop and carry out a robust regulatory framework as well as ensure adherence to all regulations and the highest industry standards.

about the job

• Monitor, interpret, and communicate new and updated regulatory requirements and assess their impact on the firm's operations and products. Keep management abreast of any material impacts
• Provide practical AML and compliance advice and guidance to all business units
• Carry out AML assessments, including high risk onboarding reviews and AML investigations where necessary
• Review and update internal compliance policies, procedures, and manuals
• Implement, and execute a comprehensive compliance monitoring program to identify and mitigate potential compliance risks
• Assess and provide guidance on new product approvals
• Prepare and submit all required regulatory reports and filings accurately and on time
• Coordinate and support audits, regulatory inspections, and ad-hoc inquiries, ensuring timely and accurate responses

skills and experience required

• Bachelor's degree from a reputable institution
• Minimum 7 years of relevant compliance experience, well versed in Securities and Futures Act (SFA) and Financial Advisers Act (FAA)
• High level of integrity, professionalism, and ethical conduct

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