
Financial Services Compliance Specialist
2 weeks ago
Job Title: Compliance Officer
This challenging role requires a seasoned professional with 7+ years of experience in the financial services industry, particularly in investment and asset management.
- Ensure compliance with applicable laws, regulations, and internal policies across investment/asset management operations.
- Provide guidance on corporate governance practices and regulatory frameworks.
- Draft, review, and maintain compliance-related policies and procedures.
- Oversee regulatory filings and maintain statutory records in line with requirements.
- Liaise with regulatory authorities and respond to their queries promptly.
- Monitor and report on compliance risks and recommend corrective measures.
- Conduct training sessions for internal stakeholders.
- Support the legal department in handling compliance-related matters and audits.
Requirements:
- A professional qualification in Company Secretaryship or a related field with 7+ years of experience.
- Strong knowledge of compliance frameworks within the financial services industry.
- Experience working in investment/asset management is preferred.
- Excellent understanding of corporate governance and regulatory requirements.
- Strong analytical and problem-solving skills.
- Ability to collaborate effectively with internal and external stakeholders.
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