Key Responsibilities:
โช Manage Know Your Client (KYC) process for client on-boarding, main account opening and sub account opening. File STRs if necessary, and provide advice on alerts clearance.
โช You would provide support in reviewing Compliance relevant matters as well as AML and sanctions advisory.
โช You would be responsibilble for the maintenance of securities watch list and review internal holdings for potential conflict of interest and insider trading.
โช Engage in Compliance initiatives and liaise with the head Office Compliance on their projects.
โช Review audit and regulatory findings and provide the relevant information for regulator visits.
โช Provide inputs on updating of compliance relevant procedures
โช Provide advise to relevant departments on Compliance relevant procedures
