Assistant Manager-Compliance-Line Compliance

A Banking Capital Markets Compliance Officer ensures that operations adhere to all contractual and regulatory requirements regarding financial transactions, procedures, processes and operations are compliant, relevant laws, internal policies, and industry best practices.

• Provide support and guidance to operations during internal/external audits
• Act as independent reviewer and evaluation body to ensure that compliance issues/concerns within client area are being appropriately evaluated, investigated and resolved.
• Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues and provide general guideline on how to avoid or deal with similar situations
• Provide reports on a regular basis, and as directed or requested, to keep senior management informed of the operations and progress of compliance efforts
• Educating and training employees on compliance guidelines

• Bachelor’s degree in banking and finance, law, business administration, or a related field (a master’s degree is a plus).
• 3-5 years of experience as a Compliance Officer mainly in Banking industry (Compliance and financial services regulation)
• Experience in risk management in banking

Skills

• Excellent communication skills
• Highly analytical and attention to details
• Strong leadership and interpersonal skills; must exhibit good independent judgement

Education Requirements

Bachelor’s degree in Business, Legal Studies, Risk Management, or related field

Work Experience Requirements

1–3 years of experience in compliance, risk management, audit, or regulated operations (preferred)

Experience in operational or first-line compliance is an advantage