Associate Director - Compliance Services [Job ID: M2019011]


Our client is looking for an Executive Assistant with the following job responsibilities:

  • Review the regulatory implications of various matters and make recommendations.

  • Work with clients to ensure that appropriate regulatory processes and controls are established and documented within the areas of responsibility.

  • Take on appointments as AML Compliance Officer, MLRO and/or Deputy MLRO as required.

  • Assist in the supervision and monitoring of each employee who acts as AML Compliance Officer, MLRO and/or Deputy MLRO (with respect to performance of those roles).

  • Develop and maintain detailed knowledge of operations and the regulatory implications thereof.

  • Track laws, regulations and best practices that might affect company and company’s client services.

  • Work closely, as required, with external solicitors in the Cayman Islands under the supervision of the DCS.

  • Manage responses to Compliance Services related questionnaires, while ensuring that the responses comply with internal and external data security protocols.

  • Provide expert advice and assist in transformation projects and in the implementation of best practices.

  • Advise on commercial, corporate and partnership transactions, with particular emphasis on regulatory implications.

  • Advise on aspects of Cayman Islands regulatory issues (which will be a Subject Matter Expert priority) and develop relevant knowledge relevant to other jurisdictions in which clients operate.

  • Coordinate with company's internal Compliance Department and manage project tasks as appropriate as directed by the DCS.

  • Carry out duties with minimal oversight.

  • Communicate with clients to resolve any potential issues.

  • Oversee the client compliance review and monitoring activities

  • Monitor the Money Laundering Reporting functions for each client.

  • Oversee the testing of client internal controls regarding AML/CFT compliance with a focus on the delegated services providers.

  • Prepare compliance reports including key findings and recommendations and present to the relevant Board of Directors.

  • Conduct periodic risk assessments and response plans.

  • Ensure all regulatory and compliance requirements are met for clients by designing and implementing relevant programs, policies, and practices in coordination with the DCS.

  • Develop, organize, and/or deliver consistent compliance related training.

  • Manage ad hoc projects in the Compliance Services function.

  • Manage regular reporting.

  • Supervise the performance of and provide guidance to Compliance Services personnel as directed.

  • Maintain a high standard in the performance of daily duties and escalate concerns to the DCS on a timely basis.

  • Monitor the effectiveness of established compliance processes and controls; and recommend and oversee the implementation of enhancements.

Candidates should possess the following Requirements:

  • Minimum of 7- 10 years relevant experience in compliance, financial risk or consulting roles in the financial sector;

  • Proficient in English Mandarin and Cantonese

  • Knowledge of the Cayman Islands, Hong Kong AML regulatory framework. Knowledge of the Singapore AML regulatory framework desirable

  • Excellent interpersonal and communication skills, both written and verbal;

  • Strong leadership skills;

  • Prior regulatory or fund administration or audit experience would be an asset


About our client:

Our client a multi-national fund governance firm serving funds in Europe and Asia. Our client offers a competitive remuneration package.


Interested individuals can apply below:

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