Responsibilities
• Support the Chief Compliance Officer in the continuous enhancement of the compliance and Anti-Money Laundering framework and regulatory processes
• Prepare and execute compliance reports, risk assessments, monitoring plans, KYC framework and control measures
• Help to ensure the firm has a robust set of policies & procedures, liaising with regional and Head Office teams, ensuring compliance with applicable laws and regulations, as well as local and Group policies
• Provide proactive advice to front office staff on client onboarding and Compliance-related matters pertaining to mergers & acquisitions- and private capital transactions, taking into consideration regulatory and reputational risks
• Partnering with other teams and global functions, including Legal, Risk, Operations and Technology, and Finance promoting a culture of compliance
• Participate as subject matter expert in ad hoc projects, providing compliance inputs in collaboration with regional and Head Office Compliance and other relevant stakeholders
• Involve in control room functions and processes from time to time, including advise and management of conflict of interests, information barrier, wall crossing etc.
• Conduct staff Compliance training
• Review marketing materials
•Assist in regulatory inquiries, audits and examinations