Senior Risk & Compliance Leader – Client-Facing

The role requires an experienced Compliance professional with proven Risk Management and Compliance experience in financial, accounting services or trust & fiduciary services, who will be accountable to run an efficient and effective Compliance function that ensures that all enterprise risks are monitored and addressed while enabling smooth business. The role holder will be primarily responsible tolead the compliance in the local office, with accountability to implement and maintain Amicorp’s Enterprise Risk Management framework – ensure there is an effective compliance framework, infrastructure,controls and associated policies, whereby the office complies with applicable local laws and regulations,supervisory requirements, as well as internal policies and procedures, while identifying and solving issuesto ensure the smooth running of the business.

• Attending board meetings, advising the Board and senior management in risk management, and assisting them in assessment of risks;
• Develop and implement internal risk policies and frameworks for various business units to ensure consistent risk management practices;
• Collaborate with the compliance function in regulatory/compliance risk management including building second level controls (“bottom-up” controls) and creating risk awareness; and
• Responsible for the operational risk management function within the Firm,
• Identify and evaluate risks related to the license, including market, credit, liquidity, operational, compliance, and reputational risks. Overseeing risks on margin trading, margin calls, monitoring of limits on trades.
• Participation in investment committees in all proposals.
• Conduct Stress Testing and Scenario Analysis to evaluate the firm’s resilience, continuously monitor the risk exposure and ensure that it stays within the established risk appetite and limits.
• Manage and investigate incidents related to risk management failures or breaches. Implement corrective actions to prevent recurrence and minimize impact.
• Review of quarterly reports of the MLRO and review of the adequacy of AML and compliance policies and procedures
• Ensures client business is conducted in compliance with relevant laws, rules and regulations;
  Identifies and analyses business risks;
• Prepares, reviews and maintains Compliance and Risk Management policies and regulatory procedures up-to-date;
• Act as the main point of contact for Fund clients, identify and report any non-compliance or suspicious activity, in accordance with anti-money laundering legislation and regulations in a timely manner;
• Perform level of controls on compliance matters, such as transaction monitoring, client acceptance files, onboarding of Fund investors;
• Preparation for and participation in organization internal committees;
• Promotes the Compliance Department throughout the region, including ownership of compliance obligations, establishing and maintaining a compliance framework, evaluating compliance requirements, providing compliance training;
• Plays an active role in the maintenance and continuous improvement of the compliance governance framework;
• Prepares reports for the Regulatory Authorities, the Board of Directors and the Management team;
• Remains updated on developments and changes concerning relevant regulatory and money laundering laws and regulations;
• Ensures adequate training of employees in relation to Compliance issues, including KYC and AML matters;
• Maintain a risk matrix for the organisation; and
• Provision of support, advice and expertise to operational teams and management team in compliance matters;
• Perform name screening and analysis of alerts on possible compliance situations and provide recommendations accordingly.

TIME RECORDING

• Accurately record chargeable time and value of service using Maconomy, ensure effective monitoring of transactions, handle pricing, invoicing and collection of outstanding fees for the portfolio of clients.
• Monitor own productivity and chargeability on weekly basis and review productivity and performance against targets. to ensure that individual financial targets and client communication KPIs are met.
• Follow a disciplined approach to…