Job Purpose
A member of the Regulatory Compliance team to work closely with business units to ensure LGI’s business activities complies with regulatory requirements and internal controls; and to identify/manage compliance and regulatory risks.
Job Responsibilities
- Keep abreast of relevant regulatory changes and amendments, assess their impact, notify relevant staff of these changes, and organize training for relevant staff and management if necessary
- Act as strong second line of defence to provide regulatory compliance advice and guidance to business units that balances regulatory requirements, risk mitigation and business objectives
- Carry out compliance reviews and monitoring to assess the effectiveness and efficiency of the controls and processes to comply with relevant regulations and internal Group and local framework and policies
- Perform the review and monitoring of the compliance programme for Anti-Money Laundering and Countering Terrorist Financing legislations and procedures
- Review and approve marketing materials
- Review and monitor compliance with substantial shareholding reporting requirements
- Handle other compliance duties and ad-hoc projects as assigned
Pre-requisites
- Degree, preferably in Accountancy, Business Finance or Law
- Professional Industry Certification (e.g. Diploma in Compliance) would be an added advantage
- Minimum 3 years of regulatory compliance experience, preferably in the financial industry or an asset management firm would be advantageous
- Team player, good interpersonal skills and practical approach to problem solving applying regulatory compliance knowledge
- Strong analytical and decision-making skills with good grounding in fundamental regulatory principles
- Good knowledge in financial products and markets and broad knowledge of business, products, and operations of the financial services industries (e.g. banks, insurance and capital markets firms)
- Result-driven, strong time and project management and prioritisation skills with ability to multi-task and work under tight timelines
- Meticulous and diligent individual with positive attitude
- Proficient in Microsoft Office applications with strong Excel, Word and Powerpoint skills
Other Information
Lion Global Investors Limited is committed to equal employment opportunity. Our employment decisions are made based on job requirements and qualifications, and regardless of age, race, gender, religion, marital status, family responsibilities, or disability.
Please refer to our Data Protection Policy Statement on how we may collect, use and disclose your personal information. https://www.lionglobalinvestors.com/en/data-protection-policy-statement.html
Please be informed that only shortlisted candidates will be notified.
