Provide comprehensive compliance advisory support and guidance to both back and front office teams, ensuring adherence to relevant laws, regulations, and guidelines.

Conduct thorough compliance reviews and testing, covering areas such as trade surveillance, AML (Anti-Money Laundering), and BCS (Business Conduct Standards). Promptly escalate any breaches of regulatory requirements, misconduct, or violations of company policies. 

Develop compliance review programs, self-assessment questionnaires, and any other necessary compliance initiatives as directed by the Head of Department, front and back office, parent company, or relevant regulatory bodies.

Undertake advisory and compliance tasks or projects as required by the Head of Department, ensuring alignment with organizational goals. 

Act as a liaison with relevant regulatory authorities and Head Office, communicating major findings and fulfilling compliance reporting obligations. 

Regularly review and update policies and procedures to ensure they remain current and effective. 

Stay informed on regulatory updates and ensure timely implementation of revised requirements.

Conduct awareness briefings and staff training sessions on regulatory requirements, company policies, and procedures. 

Undertake any other ad-hoc responsibilities as assigned.