Compliance Executive

Key Responsibilities 

• Assist in the implementation and maintenance of compliance policies and procedures to align with regulatory requirements. 

• Conduct regular reviews and assessments to ensure the organization’s activities comply with laws and internal standards. 

• Monitor regulatory changes and support updates to internal policies and procedures as required. 

• Assist in conducting compliance risk assessments and identifying areas of potential risk. 

• Collaborate with the compliance team and other departments to implement effective risk mitigation strategies. 

• Monitor and document the effectiveness of risk mitigation measures. 

• Assist in implementing AML/CFT policies and procedures in line with regulatory requirements. 

• Monitor customer transactions for suspicious activity and escalate findings to the Senior Compliance Executive or relevant authorities. 

• Maintain accurate records of AML/CFT checks and actions taken. 

• Support the preparation and submission of timely and accurate reports and surveys to regulatory authorities. 

• Assist in responding to inquiries or examinations from regulatory bodies. 

• Maintain detailed and organized records of compliance activities and reports. 

• Support internal investigations into potential compliance breaches or suspicious activities. 

• Assist in organizing compliance training sessions for staff to raise awareness of regulatory requirements and internal policies. 

• Knowledge in Data Protection and FATCA / CRS will be an advantage. 

Requirements

• Bachelor’s degree in law, Finance, Business Administration, or a related field. 

• Professional certifications in compliance (e.g., CAMS, CFE) are advantageous. 

• Minimum of 3-4 years of experience in the financial services industry or a related compliance role. 

• Basic understanding of AML/CFT regulations and compliance frameworks. 

• Strong analytical and problem-solving skills. 

• High attention to detail and accuracy. 

• Excellent organizational and time management abilities. 

• Proficiency in MS Office and compliance monitoring tools. 

• Strong communication and interpersonal skills. 

• Ability to work independently and collaboratively within a team.