About the Role

Reporting to the Assistant Manager Risk & Compliance, the role will support the implementation and monitoring of the company’s risk and compliance framework, ensuring adherence to regulatory requirements, internal policies, and industry best practices. The role will also play a key part in Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT) compliance.

Key Responsibilities

• Support the execution of the Risk and Compliance Management framework across the business.
• Assist in AML/CFT compliance activities including client due diligence (CDD), Know Your Customer (KYC) processes, and ongoing monitoring.
• Investigate AML alerts, manage high-risk customer accounts, and escalate or file Suspicious Activity Reports (SARs) where required.
• Maintain accurate and up-to-date AML records, compliance logs, and documentation.
• Assist in preparing and reviewing internal policies and procedures to ensure alignment with regulatory requirements.
• Support the preparation and submission of regulatory reports to authorities such as the Financial Reporting Centre (FRC) and Capital Markets Authority (CMA).
• Monitor investment portfolios to ensure compliance with CMA guidelines and internal limits.
• Conduct routine compliance monitoring and real-time surveillance to identify and mitigate risks.
• Provide day-to-day compliance guidance to business units on applicable regulations and internal policies.
• Assist in ensuring compliance of pension portfolios with Retirement Benefits Authority (RBA) guidelines.
• Support the review of marketing materials and client communications to ensure regulatory compliance.
• Track regulatory changes and assist in implementation of new requirements.

Who We’re Looking For

Essential Knowledge/Skills and Experience Required:

• Bachelor’s degree in Finance, Law, Business Administration, or a related field.
• A Professional certification in risk, compliance or Chartered Institute of Securities and Investment (CISI) will be an added advantage
• At least 1-2 years’ relevant experience in a compliance, risk or audit role within the financial services industry, preferably fund management or banking.
• Demonstrated experience in maintaining compliance records, conducting assessments, or supporting regulatory reporting processes.

• Support the execution of the Risk and Compliance Management framework across the business.
• Assist in AML/CFT compliance activities including client due diligence (CDD), Know Your Customer (KYC) processes, and ongoing monitoring.
• Investigate AML alerts, manage high-risk customer accounts, and escalate or file Suspicious Activity Reports (SARs) where required.
• Maintain accurate and up-to-date AML records, compliance logs, and documentation.
• Assist in preparing and reviewing internal policies and procedures to ensure alignment with regulatory requirements.
• Support the preparation and submission of regulatory reports to authorities such as the Financial Reporting Centre (FRC) and Capital Markets Authority (CMA).
• Monitor investment portfolios to ensure compliance with CMA guidelines and internal limits.
• Conduct routine compliance monitoring and real-time surveillance to identify and mitigate risks.
• Provide day-to-day compliance guidance to business units on applicable regulations and internal policies.
• Assist in ensuring compliance of pension portfolios with Retirement Benefits Authority (RBA) guidelines.
• Support the review of marketing materials and client communications to ensure regulatory compliance.
• Track regulatory changes and assist in implementation of new requirements.

• Demonstrated experience in maintaining compliance records, conducting assessments, or supporting regulatory reporting processes.

• Bachelor’s degree in Finance, Law, Business Administration, or a related field.
• A Professional certification in risk, compliance or Chartered Institute of Securities and Investment (CISI) will be an added advantage