Associate, Compliance

The role requires the candidate to ensure that our operations and business transactions comply with all relevant laws, regulatory guidelines, legislation, codes of conduct and ethics, as well as group and internal policies and procedures.

Responsibilities

• Assist in implementing organisational policies and procedures in tandem with the laws, statutes, guidelines, and business activities, including providing feedback, where necessary.
• Assist the Business Units (BU) with contract obligations and review.
• Collaborate with all BUs to create robust internal controls and monitoring to ensure compliance with laws, regulations, conduct, ethics and governance.
• Assist in communicating and training employees on the organisational governance and compliance policies and procedures.
• Assist with Group Internal Audit (GIA) processes, practices, documentation, and quality assurance review to identify threats and weaknesses.
• Conduct name checks, screening and relevant reviews on new business, existing clients, change of servicing brokers, policy claims, etc, using Comply Advantage, Dow Jones, World Check and other public websites, e.g. Google
• Assist in the preparation of reporting procedures to the regulator(s).
• Assist in conducting Know Your Customer / Customer Due Diligence procedures on prospects, clients, and any parties engaged by the Company.
• Stay informed about news updates and general market developments related to laws and regulations.
• Provide other administrative support to the HBG Compliance Department, e.g. prepare and circulate Annual Review Report to Management, etc.

Knowledge, Experience and Skill

Seniority level

Employment type

Job function

Industries

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