Compliance officer

Greenwich Registrars & Data Solutions Limited

Job Summary

The Compliance Officer will be responsible for ensuring the Company complies with its internal policies and external requirements.

  • Minimum Qualification: Diploma
  • Experience Level: Mid level
  • Experience Length: 3 years

Job Description

Greenwich Registrars & Data Solutions Limited (formerly Union Registrars Limited) is the pioneer Company in the share registration industry, having commenced operations as a department in the then Barclays Bank DCO (Dominion, Colonial and Overseas). We provide excellent customer service in attending to shareholders’ enquiries and managing shareholders’ records.

Responsibilities

  • Develop and implement an effective legal compliance program
  • Create sound internal controls and monitor adherence to them
  • Draft and revise Company policies
  • Proactively audit processes, practices and documents to identify weaknesses
  • Evaluate business activities to assess compliance risk
  • Collaborate with internal auditors, external auditors and HR to ensure compliance
  • Set plans to manage a crisis or compliance violation
  • Educate and train employees on regulations and industry practices
  • Address employee concerns or questions on legal compliance
  • Keep abreast of the Company’s business goals and objectives

Requirements

  • Legal Practitioner, with 3-5 years post-call experience
  • Previous experience as Compliance Officer/Manager in Capital Market Operator or allied industry will be preferred
  • Knowledge of all relevant legal and regulatory requirements
  • Familiarity with industry practices and professional standards
  • Excellent communication skills
  • Integrity and professional ethics
  • Attention to detail

How to Apply?

Please login to see application instructions.

Share Job Post

LOGIN TO APPLY NOW