assistant manager, regulatory compliance (capital markets).

Responsibilities

• Assist in updating and implementing the Compliance Manual, AML protocols, and Anti-Bribery policies to stay current with changing laws.
• Monitor unit trust funds and private mandates to ensure strict adherence to internal policies and client requirements.
• Investigate suspicious customer activities and handle the reporting process for financial intelligence units.
• Manage the submission of required reports and ensure that all corporate and professional licenses are renewed within mandatory timeframes.
• Evaluate all marketing and promotional materials to ensure they meet legal standards.
• Provide regular briefings and training sessions to employees regarding updates to internal procedures and external regulations.
• Ensure the organization meets global standards, including FATCA, Common Reporting Standards (CRS), and other international investment principles.

Requirements

• A relevant Diploma, Degree, or Professional qualification supported by 3 to 5 years of experience in banking or capital markets.
• A strong understanding of rules regarding anti-money laundering, counter-terrorism financing, and proliferation financing.