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.
