Senior Compliance Executive
Senior Compliance Executive
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5years
Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
- Be responsible for the oversight on the auxiliary licenses managed by the company
- Develop implement and maintain compliance policies and procedures.
- Monitor and ensure compliance with regulatory requirements and internal policies.
- Conduct regular audits and assessments to identify potential compliance risks.
- Provide support to staff on compliancerelated issues.
- Investigate and resolve compliance issues and complaints.
- Prepare and submit compliance reports and MLRO reports to regulatory bodies and senior management.
- Perform regulatory horizon scanning report to Head of Compliance of changes in the regulatory landscape provide comments on draft legislation and assist the business with the implementation of new/changes in regulation
- Stay uptodate with changes in laws and regulations affecting the financial services industry.
- Collaborate with other departments to ensure a cohesive approach to compliance and project support and advisory where required.
- Liaise with relevant Regulatory Bodies
- Ensure effective and up to date compliance program is maintained
- Keep relevant policies updated and communicate to staff
- Respond to queries on all regulatory compliance matters
Requirements
Employment Type
Full Time
