Job Description
Responsibilities
- Support the Head of Risk & Compliance in developing and implementing risk management strategies and compliance controls that align with the Company’s objectives and risk appetite.
- Act as a subject matter expert, providing guidance on business initiatives, plans, and transactions from a risk and compliance perspective.
- Perform daily Risk & Compliance operations, including but not limited to:
- Conflicts of interest management
- KYC review during onboarding, periodic reviews, and triggering events
- AML transaction monitoring and name screening
- Investigations and filing of suspicious transaction reports
- Complaints handling
- Investment sales suitability
- Outsourcing or third-party risk management
- Business Continuity Management
- Regulatory reporting and advisory support
- Ensure...