Job scope:
- Conduct regular reviews and due diligence, to ensure that the Financial Adviser Representatives and new candidates meet the stipulated competency and compliance standards.
- Review AML/CFT screening alerts and perform enhanced CDD on high-risk customers
- Maintain and update internal watch-lists in AML/CFT screening system
- Assist in the implementation of new regulatory developments
- Execute compliance audits and reviews on sales conduct of representatives
- Undertake additional duties and projects as and when required
- Carry out Balanced Scorecard and Compliance audits
Requirement:
- 1-2 years’ working experience, Financial Representative can apply too
- Degree with 1-2 years’ experience in a similar or related role (Both fresh Degree and Polytechnic graduates will also be considered)
- Familiar with the regulatory requirements will be advantageous.
- Strong interpersonal, communication and analytical skills.
- Independent and fast learner.
