Compliance Executive

The Compliance Executive is responsible for ensuring that the company operates in accordance with all relevant laws, regulations, and internal policies. They will develop and implement compliance programs, conduct audits, and provide guidance to employees on compliance matters. This position reports directly to the Chief Compliance Officer, ensuring effective communication and alignment with the company's compliance objectives.

Responsibilities

1. Develop and implement compliance policies, procedures, and guidelines to ensure adherence to relevant laws and regulations.
2. Conduct regular audits and risk assessments to identify compliance gaps and recommend corrective actions.
3. Monitor and analyze changes in laws and regulations to ensure ongoing compliance.
4. Provide guidance and training to employees on compliance-related matters.
5. Investigate and resolve compliance-related issues, including conducting internal investigations and implementing disciplinary actions if necessary.
6. Work with Group Internal Audit on any internal audit inspection.
7. Collaborate with cross-functional teams to ensure compliance requirements are integrated into business processes and systems.
8. Prepare and submit compliance reports to regulatory authorities as required.
9. Stay updated on industry best practices and emerging trends in compliance to continuously improve the company's compliance program.
10. Serve as a point of contact for external auditors and regulatory agencies during compliance audits and inspections.
11. Develop and maintain effective relationships with internal stakeholders to promote a culture of compliance throughout the organization.
12. Record keeping and filing of compliance related records in compliance team sharepoint drive and client database system.

Job Requirements

1. Bachelor degree in Law/Finance/Business Administration or any related field.
2. At least 3 – 5 years of experience in compliance, risk management, or regulatory affairs.
3. Experience in conducting compliance audits, risks assessments, and regulatory reporting.
4. Self-starter with positive mindset to work in any challenging situations.
5. Strong proficiency with MS 365 applications such as PowerPoint, Excel, Word, SharePoint.
6. Excellent analytical, research skills, problem-solving, and communication skills.
7. Strong attention to detail and the ability to work independently in a fast-paced environment.
8. Professional certifications will be an added advantage.