• To ensure compliance of all staff in order to reduce all risks related to business processes and investment risks;
• Implementation of internal policies and procedures / applicable regulations
• Monitor compliance with Mutual Funds and Mandates investment guidelines.
• Financial Security Responsibilities
• Ensuring the Company's compliance with laws and regulations.
• Monitor the implementation of the Company's compliance plan;
• Recommend actions to ensure compliance with laws and regulations;
• Ensuring compliance with investment policies in all portfolios managed by the Company
ESSENTIAL QUALIFICATIONS & EXPERIENCE
• Have a minimum of 5 years working experience as a Compliance/Internal Auditor/Risk Management in an Investment Management company, bank, securities or other relevant financial institution.
• Understanding of the investment management industry and capital markets and having front office knowledge (in terms of investment).
• Minimum Bachelor's degree from a reputable university, preferably majoring in Law or Accounting or other relevant majors
• Fluent in English both spoken and written
• Have a WMI (Investment Manager License); Preference will be given to those with FRM or CFA charters