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Compliance Manager - 7333

Apex Group Ltd

Apex Group Ltd

Posted on Wednesday, July 3, 2024


Job Description: Compliance Manager

  • Reporting to Head of Internal Compliance

  • Role Summary
    • Managerial role within the Compliance function by supervising execution of all compliance initiatives across the business, including Group compliance vision
    • Providing technical and advisory guidance to client services operations and management
    • To oversee the proper application of all compliance related policies
    • Ensure that compliance framework is efficient and any breach or default escalated, accompanied by remedial action
    • Monitor regulatory updates and suggest implementation plans
    • Review compliance work of other unit members and provide support/assistance to other units
    • Active participation in internal & external forums on compliance issues

  • Responsibilities
    • Assist in drafting and implementation of Compliance Monitoring Plan (CMP)
    • Conduct ongoing monitoring through file reviews, testing of internal controls & processes, etc.
    • Assist in AML/CFT related queries
    • Consistent and timely review & reporting of KPI to management and relevant boards
    • Assist Head of Compliance and other departments in regulatory reporting and interactions
    • Management of regulatory inspections, including resolution of any matters that require attention
    • Assist in independent AML audit assignments, address queries and follow-up on any action points
    • Draft, review and implement local & Group compliance policies
    • Participate in meetings and assist other departments in compliance matters
    • Conduct training of staff and induction of junior team members
    • Review work and provide guidance to juniors and other colleagues

  • Skills/experience required
    • Degree in Finance, Accounting or Law and/or holding a recognized professional qualification.
    • Post graduate and/or AML/CFT professional qualification will be an advantage.
    • At least 7-8 years of work experience in relevant field.
    • Good technical knowledge of applicable laws and regulations for the Global Business.
    • Well-developed up-to-date knowledge of AML/CFT issues.
    • Ability to work under pressure and deliver within agreed timelines.
    • Excellent analytical and problem solving skills
    • Effective communication and interpersonal skills
    • Strong attention to details and organizational skills
    • Motivate team members to achieve unit, company and personal goals
    • Ability to work independently and collaborate with cross-functional teams and different APEX offices