- Responsible for reviewing and closing the alerts generated from sanction screening and transaction monitoring workflow.
- Assist to conduct investigation of potential suspicious activities and submitting suspicious activity reports to local regulators.
- Assist to carry out KYC client onboarding review and regular KYC refresh;
- Assist the Global Head of Compliance to foster a compliance culture at the company, promote compliance and risk awareness at the organisation.
- Support the business with compliance advisory, clarifying and explaining the procedure requirements.
- Assist the Global Head of Compliance to conduct Enterprise-Wide ML/TF Risk Assessment.
- Assist to perform periodic regular review of existing operational procedures as to ensure they are effective and up to date and compliance with current regulations and guidelines.
- Maintain the compliance registers including gifts and entertainment, conflicts of interest, breach reporting and complaint registers.
- Assist to handle administrative tasks as assigned by the line manager.
Requirements
- Minimum one year of working experience in financial industry or with regulator;
- Working knowledge and experience with the regulatory requirements and obligations is an advantage but not necessary;
- Understanding of the regulatory environment and best practices in financial industry;
- Positive attitude towards colleagues and the organisation to ensure seamless communication;
- Strong analytical and problem-solving capabilities;
- Attention to detail;
- Ability to work under pressure;
- Fluent English communication skills;
- Good command of Microsoft Office.
- Work with people based in different locations within the company group
- It is expected that all members of Instantia are to help each other where required regardless of the department, role or experience
- This role may be required to help with other aspects of the business as we build and grow
