Compliance Manager
4 weeks ago
Compliance Risk Framework Specialist
We are seeking a seasoned compliance professional to enhance our risk management framework and drive regulatory compliance across our diversified investment business groups.
Key Responsibilities:
- Develop and implement risk-based compliance programs to ensure regulatory adherence and mitigate potential risks.
- Conduct regular compliance reviews and monitoring to identify trends and areas of concern.
- Provide policy guidance and compliance training to business units, ensuring they meet regulatory requirements.
- Collaborate with business units to design and implement risk management initiatives and enhance internal processes.
- Review and analyze risk assessment returns to identify areas for improvement.
Requirements:
- Minimum 3-5 years' experience in compliance, audit, or risk management, preferably in the securities, financial advisory, or fund management industry.
- Strong knowledge of key regulations, including the Securities & Futures Act, Financial Advisers Act, and AML/CFT regulations.
- Excellent writing and communication skills, with the ability to influence and network effectively.
- Team player with a strong commitment to regulatory compliance.
About Phillip Securities:
Phillip Securities is a leading financial services company dedicated to providing innovative solutions and exceptional service to our clients.
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