Junior Compliance Executive
2 weeks ago
Job Responsibilities
a) Customer Due Diligence
- Assist to review risk assessment of new and existing clients conducted by business units, advising on ongoing monitoring and changes to risk ratings as required under compliance policies and procedures.
- Assist to review high-risk clients including Politically Exposed Persons (PEPs) and other high risk (OHR) clients
- Conduct client file reviews and sampling checks
- Provide first level compliance advisory to business units
b)Keeping abreast of regulatory changes
- Ensure prompt and effective communication of regulatory requirements, licensing matters and upcoming changes to regulatory requirements in relation to jurisdictions where Portcullis maintain business operations.
- Assist the compliance team to evaluate the potential commercial and/or operational impact resulting from specific regulatory changes or legislations.
c)Policies and Procedures
- Work with compliance team to implement and update Compliance policies and procedures.
- Provide first level compliance support to the business units on compliance procedures.
d)Record Keeping
- Assist compliance team on records maintenance within compliance department.
e)Others
- Participate in Portcullis Group projects and committees, where possible.
- Participate in Portcullis Group CSR activities, where possible.
- Work with Head of Compliance to implement initiatives on process improvements within the Compliance department.
- Adhoc work as directed from time to time.
Skills & Experiences
- Self-starter with positive mind set to work in any challenging situations.
- Proficiency in World Check and Viewpoint will be added advantage.
- Bachelor’s degree or equivalent, preferably in finance, accounting or legal field.
ACAMS or ICA qualification will be added advantage.
- At least 2 years experiences however fresh graduates are welcome to apply.
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