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Job Details

Date Posted

May 14, 2015


asset management group

Job Title

Compliance Officers at Asset Management Company

Job Type



Asset Management Company, we are a reputable and fast growing wealth management firm that provides exceptional, objective advice and customized portfolio solutions to a select group of clients while adding value to our client's portfolio and ensuring the continued preservation of their wealth. 

We are seeking the services of a diligent, goal-oriented and suitably qualified candidate for the position below:

Job Title: Compliance Officer


Duties and Responsibilities
The role of the compliance officer will be to provide in-house compliance service to effectively support the capital markets arm as well as other business areas and ensure that the organization has systems of internal control that adequately measure and manage the risks that it faces. 

Some of the duties will be:
  • To provide compliance support primarily to the Capital Markets arm of the business
  • To work with the rest of the compliance team to ensure coordination and strategic implementation of compliance best practices for the respective departments
  • To implement appropriate compliance infrastructure and controls
  • Perform risk assessments and provide efficient and practical advice to the capital markets team and business as a whole
  • To provide compliance support for transactions and ensure transactions are conducted in a compliant manner
  • Pro-active risk identification of regulatory changes or business developments
  • Regulatory risk management
  • Provide advice on new product and new business structures
  • Supervision of training requirements, monitoring, marketing activities and licensing

Qualifications and Skills
  • A first Degree in a relevant field
  • A minimum of 5 years post-qualification experience in Capital Markets, Corporate Finance and/or Research
  • Excellent regulatory management and relationship skills
  • Up-to-date knowledge of rules and regulations on capital markets, corporate finance and research
  • Excellent communication skills
  • Strong analytical and organizational skills
  • Leadership skills and management ability
  • Must be of good character and integrity

Application Closing Date

27th May, 2015.

Year of Experience

5-10 year


Date Available

Recruiter's Email



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