Job Description
Description
Regulatory/Business/Central/Financial Crime Compliance
Review sales materials, documents and external communication
Provide regulatory advice on business, ad hoc issues and incidents
Communicate compliance issues and build relationship with internal clients and keep business updated.
Support head of Compliance to implement Financial Crime related compliance framework and controls
Implement internal controls relating to Code of Ethics (i.e. personal account dealing, gifts and entertainment and other controls)
Deal with (self) regulators, build and maintain good relationship
Revise internal rules and policies and publicize them
Promote a spirit of compliance to ensure employees to comply with the rules and regulations
To support IC Officer who monitors related investment gui...