We are looking for someone passionate about building the next big thing and making a true impact in the region. Key Responsibilities:
Administering Relevant Policies & Procedures - Review and advise on areas of regulatory change and applicable best practices and update the relevant manuals and procedures as necessary.
Liaising with Regulators - Maintain close liaison with the relevant regulatory bodies and obtain any necessary licenses, and consents, make ad hoc notifications, file periodic regulatory returns, and provide information upon request.
Provision of Advice & Support - Review any marketing materials and make the necessary AML/KYC checks promptly to ensure compliance with regulatory requirements. Provide guidance and advice to the Board and senior management on any local regulatory matters.
Compliance Monitoring and Management Reporting - Conducting quarterly compliance monitoring and surveillance, reporting to the Board and senior management on the appropriateness and effectiveness of the Firm’s systems and controls, and implementing any required. enhancements.
Record Keeping - Maintain proper records about controllers, senior management apportionment, authorized individuals, breaches, fitness and propriety, complaints, training and competence, conflicts identification and management, communications and marketing, client-related documentation, regulatory returns, and notifications made.
Filing of Regulatory Returns - Preparation and filing of all required reports.
Competencies
Knowledgeable and comfortable with regulation.
Attention to detail and strong analytical skills.
Excellent written and verbal communication skills.
