12 days ago
- Be responsible for undertaking of the full audit cycle pertaining to those audits identified through the Compliance Monitoring Programmes
- One will be responsible for the control management over operations’ effectiveness and compliance with all policies and procedures.
- Support management in the determination of the internal audit scope and development of annual plans in this regard.
- Be responsible for the undertaking of Compliance monitoring related tasks, such as the regular review of financial promotions, marketing material, processes & procedures and advisory reports along with any other relevant documentation.
- Implementation of controls in order to prevent money laundering and the financing of terrorism.
- Assisting in the taking on (‘onboarding’) of new clients and their screening process.
- Review of personalised client advisory letters prior to them being issued by the business to clients or prospective clients.
- Monitoring, recording and dealing with complaints
- Participating in internal Compliance team meetings.
- Design, preparation and review of regular and ad-hoc reports and management information statistics for senior management, in collaboration with the Manager.
- Supporting the Head of Compliance and / or the Senior Compliance & Regulatory Manager in drafting and maintaining corporate governance documents.
Skills and Experience
- Degree or Post-Graduate studies in Accounting/Audit or Finance.
- Basic Qualification in IT literacy.
- 3 – 4 year experience as an Internal Auditor or Senior Auditor.
- Excellent interpersonal and communication skills.
- Excellent organisational skills.
- Excellent time management skills.
- High attention to detail and excellent analytical skills.
- Diploma (or equivalent) qualification in compliance, regulation and / or AML and Financial Crime; or Diploma (or equivalent) qualification in financial services, law or regulation.