Assistant Manager / Manager – Compliance Control

Key responsibilities

• Ensure all the operational functions, range from client onboarding, KYC, risk to compliance are in accordance with the firm’s policies and procedures
• Ensure clients are properly assessed and onboard with sufficient details such as its business nature and source of funds, etc.
• Ensure AML/CFT risks are properly addressed and reviewed with corresponding mitigation plans
• Identify process improvements by reviewing risk assessment forms and related workflows
• Maintain high data integrity by continuous quality reviews
• Rate and approve on the overall risk for potential client, escalate high risk matters to senior management for ultimate approval when appropriate
• Collaborate internally with legal team and offices from jurisdictions over the world to drive the best practices and professional standards across the firm
• Work with Heads from different business lines to drive innovative changes