Compliance Manager

Our client is a leading non-bank financial institution. The company provides investment services in securities trading, investment management, corporate finance, trade financing, and portfolio management, amongst others. The company is focused on driving continued growth and delivering ultimate customer and employee experience. The company is now seeking to recruit an exceptional professional for the position of Compliance Manager.

Reporting to the Chief Operating Officer, you will

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Our client is a leading non-bank financial institution. The company provides investment services in securities trading, investment management, corporate finance, trade financing, and portfolio management, amongst others. The company is focused on driving continued growth and delivering ultimate customer and employee experience. The company is now seeking to recruit an exceptional professional for the position of Compliance Manager.

Reporting to the Chief Operating Officer, you will ensure the company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.

Responsibilities

Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies

Evaluate the efficiency of controls and improve them continuously

Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues

Draft, modify and implement company policies

Collaborate with corporate counsels and HR departments to monitor enforcement of standards and regulations

Assess the business’s future ventures to identify possible compliance risks

Review the work of colleagues when necessary to identify compliance issues and provide advice or training

Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control

Prepare reports for senior management and external regulatory bodies as appropriate

Requirements and skills

Bachelor’s degree (or equivalent) in finance, business administration or related field

Proven experience as Compliance Manager

In-depth knowledge of the industry’s standards and regulations

Excellent knowledge of reporting procedures and record keeping

A business acumen partnered with a dedication to legality

Methodical and diligent with outstanding planning abilities

An analytical mind able to “see” the complexities of procedures and regulations

Excellent communication skills

Certified compliance professional qualification is a plus