
Chief Regulatory Compliance Specialist
4 days ago
This role is responsible for ensuring adherence to regulatory requirements, internal policies, and compliance frameworks.
The Compliance Officer will be accountable for monitoring and evaluating internal processes, coordinating regulatory approvals, and ensuring compliance with guidelines set by the relevant authorities.
- Develop, implement, and monitor the organization's compliance policies, procedures, and controls.
- Ensure strict adherence to regulatory frameworks and reporting.
- Manage Anti-Money Laundering (AML)/Know Your Customer (KYC) requirements, periodic regulatory filings, reports, and investor complaint resolutions.
- Liaise with regulators and external auditors, handling audits, inspections, and correspondence.
- Regularly update senior management on regulatory changes and compliance matters.
- Maintain thorough documentation and up-to-date compliance records.
We are looking for a qualified professional with the following attributes:
- Qualified Company Secretary / LLB
- At least 3 years' relevant experience in compliance, legal, risk management, or related roles in financial services or asset management.
- Prior experience with submissions, audits, and regulatory inspections is preferred.
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