Apex Group Careers

Job Description: Compliance Manager

• Reporting to Head of Internal Compliance

• Role Summary
  • Managerial role within the Compliance function by supervising execution of all compliance initiatives across the business, including Group compliance vision
  • Providing technical and advisory guidance to client services operations and management
  • To oversee the proper application of all compliance related policies
  • Ensure that compliance framework is efficient and any breach or default escalated, accompanied by remedial action
  • Monitor regulatory updates and suggest implementation plans
  • Review compliance work of other unit members and provide support/assistance to other units
  • Active participation in internal & external forums on compliance issues

• Responsibilities
  • Assist in drafting and implementation of Compliance Monitoring Plan (CMP)
  • Conduct ongoing monitoring through file reviews, testing of internal controls & processes, etc.
  • Assist in AML/CFT related queries
  • Consistent and timely review & reporting of KPI to management and relevant boards
  • Assist Head of Compliance and other departments in regulatory reporting and interactions
  • Management of regulatory inspections, including resolution of any matters that require attention
  • Assist in independent AML audit assignments, address queries and follow-up on any action points
  • Draft, review and implement local & Group compliance policies
  • Participate in meetings and assist other departments in compliance matters
  • Conduct training of staff and induction of junior team members
  • Review work and provide guidance to juniors and other colleagues

• Skills/experience required
  • Degree in Finance, Accounting or Law and/or holding a recognized professional qualification.
  • Post graduate and/or AML/CFT professional qualification will be an advantage.
  • At least 7-8 years of work experience in relevant field.
  • Good technical knowledge of applicable laws and regulations for the Global Business.
  • Well-developed up-to-date knowledge of AML/CFT issues.
  • Ability to work under pressure and deliver within agreed timelines.
  • Excellent analytical and problem solving skills
  • Effective communication and interpersonal skills
  • Strong attention to details and organizational skills
  • Motivate team members to achieve unit, company and personal goals
  • Ability to work independently and collaborate with cross-functional teams and different APEX offices