Compliance officer/manager- Investment Management Company
-Develop written Company Compliance Program, policies, procedures and internal controls in accordance with the protocol or compliance elements provided by head office.
- On-going monitoring of all policies, procedures and internal controls to ensure they are functioning properly and complied with.
- Review and update the inventory of applicable laws and industry regulations at least annually.
- Prepare and conduct Compliance Risk Assessment and identify high risk areas to be prioritized based on the results.
- For any new lines of business/expansion into a new jurisdiction, assess associated compliance risks and develop a risk mitigation plan and incorporate action plan into the Compliance Program.
- Work on PDPA and GDPR project with professional firm. Implement in the company and monitor periodically.
- Work with professional firm preparing AML policies and checklist for implementation.
- Obtain information about AML, Anti-bribery/Corruption covering FCPA and other bribery and corruption topics and conduct briefing for all directors and employees.
- Review and update/amend other existing policies such as Business Continuity Plan and others
- Periodic reporting to Global Compliance Team
- Ensure staff compliance awareness. Prepare training notes for the staff and conduct training/briefing. Current staff strenght about 15.
- Other duties and adhoc assignment assigned by the Company
- Report to Company MD and also Office of Global Compliance in Japan head office
- Advise Investment Team/SHIP department on AML steps required in policy and review the checklist and supporting documents.
Budget: Up to 5.5k/month(flexible) + AWS +Bonus(1-1.5 Mth)