Senior Compliance Executive

Role Purpose

To support the MLRO and Compliance Function in ensuring the Company maintains an effective AML/CFT/CPF and regulatory compliance framework, while acting as DMLRO and assuming MLRO responsibilities in their absence.

Key Responsibilities

• Assist in the development, implementation, and maintenance of compliance and AML/CFT policies, procedures, and controls.

• Act as DMLRO and support the MLRO in fulfilling regulatory and reporting obligations.

• Conduct client onboarding reviews, including KYC, CDD, EDD, screening, and risk assessments.

• Perform ongoing monitoring of client relationships and transactions to identify unusual or suspicious activity.

• Investigate potential compliance breaches and financial crime concerns, escalating matters where necessary.

• Assist with the preparation and submission of regulatory returns, surveys, and reports.

• Conduct compliance monitoring reviews and assess adherence to legal and regulatory requirements.

• Monitor regulatory developments and recommend enhancements to policies and procedures.

• Support regulatory inspections, audits, and requests from competent authorities.

• Deliver compliance and AML/CFT training and promote a strong compliance culture across the business.

• Prepare management information and compliance reports for senior management and governance committees.

• Work closely with operational teams to identify, assess, and mitigate compliance and financial crime risks.

Qualifications & Experience

• Bachelor’s degree in law, Finance, Business Administration, or a related field.

• Professional compliance qualifications such as CAMS, ICA, CFE, or equivalent would be an advantage.

• Minimum of 5 years' experience in Compliance, AML/CFT, Risk, or Financial Crime within the financial services industry.

• Sound knowledge of AML/CFT legislation, FSC Rules and guidance, FIAMLA, FATF standards, and sanctions requirements.

• Experience conducting KYC/CDD/EDD reviews and client risk assessments.

• Previous experience within a Management Company, Trust Company, Fund Administration, or other regulated financial institution is preferred.

Skills & Competencies

• Strong analytical, investigative, and problem-solving skills.

• Excellent communication, report-writing, and stakeholder management abilities.

• Sound judgement and a risk-based approach to decision-making.

• High level of integrity, professionalism, and confidentiality.

• Ability to work independently, manage competing priorities, and meet regulatory deadlines.