Job ref no.: CT3116513-01#9577


Cornerstone Global Partners

Job Description

  • The Compliance Director will be responsible for developing and promoting ethical conduct and compliance with rules, regulations and processes applying to how financial transactions are handled, how client accounts are maintained and monitored as well as how the organization operates as a business.
  • The incumbent will develop the compliance framework, review emerging regulatory requirements, develop Global Sanctions Compliance procedures and guidance documents, provide clarity on critical sanctions matters and lead Compliance department meetings.
  • The jobholder will proactively identify and communicate deficiencies or gaps with regulatory compliance providing guidance in the development of alternative solutions or implementation of corrective action and manage potential conflicts of interest associated with transactions.
  • The Compliance Director will develop and conduct compliance risk assessment programs, manage the risk register with respect to compliance matters, ensure AML programs are in line with current industry best practices and are both efficient and effective in terms of internal controls, develop risk rules and definitions for customer screening and transaction monitoring for KYC, AML & CTF, develop/enhance policies around incident and breach management and participate in the Risk Committee and Risk Task Force forum.
  • The incumbent will manage the daily operation and monitoring of the AML and Compliance programs, develop and maintain the compliance obligations register, assist in drafting AML policies and procedures in jurisdictions where the organization intends to apply for a financial license, conduct enhanced due diligence for business partners and clients in line with the AML policies and AML laws and regulations and advise on compliance implications for specific transactions, new products and businesses.
  • The jobholder will also have responsibility for transaction reporting, regular reporting on key compliance metrics to senior management and regulatory breach reporting to regulators.
  • The successful candidate will be a degree holder with at least 6 years’ experience gained in a financial service, legal or regulatory environment.
  • Applicants will need to have had Compliance Advisory experience, have a good knowledge and understanding of money laundering compliance requirements and hands-on experience in implementing and testing automated monitoring, filtering and database systems.
  • Candidates will need to have strong leadership, decision making, relationship and project management skills and excellent interpersonal and communication skills including proficiency in English and ideally Mandarin.

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More job information
Job ref no. CT3116513-01#9577
  • N/A
Job Function
Employment Term
  • Full-time
  • 6 years - 11 years
Career Level
  • Middle management level
  • Degree