Associate Compliance Officer

Regulatory/Business/Central/Financial Crime Compliance

Review sales materials, documents and external communication

Provide regulatory advice on business, ad hoc issues and incidents

Communicate compliance issues and build relationship with internal clients and keep business updated.

Support head of Compliance to implement Financial Crime related compliance framework and controls

Implement internal controls relating to Code of Ethics (i.e. personal account dealing, gifts and entertainment and other controls)

Deal with (self) regulators, build and maintain good relationship

Revise internal rules and policies and publicize them

Promote a spirit of compliance to ensure employees to comply with the rules and regulations

To support IC Officer who monitors related investment gui...