Compliance Executive

The role of the Compliance Officer will include the following responsibilities and tasks:

• Liaising with the regulator for compliance‑related matters
• Keeping up to date with the relevant regulatory rules, regulations and requirements
• Reviewing and drafting compliance and internal control procedures and ensuring they are in adherence with compliance and other manuals as well as all applicable legislations
• Ensuring that the Compliance Manual and related documents are kept up‑to‑date
• Providing guidance and assistance where relevant to senior management and employees on regulatory compliance‑related matters
• Administering policies in relation to managing conflict of interests, personal account transactions, use of marketing material, etc.
• Overseeing staff awareness and training on compliance matters, providing necessary compliance related training to employees and assisting in enhancing compliance ...