Compliance Executive

Job scope:

• Conduct regular reviews and due diligence, to ensure that the Financial Adviser Representatives and new candidates meet the stipulated competency and compliance standards.
• Review AML/CFT screening alerts and perform enhanced CDD on high-risk customers
• Maintain and update internal watch-lists in AML/CFT screening system
• Assist in the implementation of new regulatory developments
• Execute compliance audits and reviews on sales conduct of representatives
• Undertake additional duties and projects as and when required
• Carry out Balanced Scorecard and Compliance audits

Requirement:

• 1-2 years working experience, Financial Representative can apply too
• Degree with 1-2 years experience in a similar or related role (Both fresh Degree and Polytechnic graduates will also be considered)
• Familiar with the regulatory requirements will be advantageous.
• Strong interpersonal, communication and analytical skills.
• Independent and fast learner.