Senior Associate / Assistant Manager (Regulatory Compliance)

Job Responsibilities:

• Advise portfolio of clients in the financial services industry on ongoing regulatory obligations under the applicable regulations
• Prepare and submit regulatory filings, returns, and notifications
• Develop and review regulatory compliance frameworks, registers, policies and procedures 
• Conduct reviews of business processes and internal controls to identify gaps, assess risks, and recommend remediation measures
• Liaise with regulatory authorities and external auditors on compliance-related matters
• Translate regulatory rules and guidance into pragmatic, fit-for-purpose solutions for clients
• Monitor regulatory developments and provide actionable advisory on their impact to clients’ business operations and compliance frameworks
• Support and execute ad hoc projects, including regulatory mock inspections and AML/CFT due diligence reviews
• Assist in the development and delivery of c...