Compliance Officer at DynamicPlus Advisory

Job Description

• Keep the business abreast of any regulatory developments and industry best practices and assessing the impact on current procedures, as well as ensuring that necessary changes are implemented
• Develop and implement an Annual Compliance plan.
• Liaise with Industry Regulators and other agencies and respond to regulatory enquires, findings and deficiencies.
• Carry out Compliance reviews and Compliance monitoring activities.
• Monitor the resolution of Clients’ complaints.
• Provide assistant to respective units for purpose of compliance with applicable statutory, regulatory and supervisory requirements.
• Ensure no fine/censure from Regulatory authorities.
• Improvement in the compliance culture, enterprise-wide

Qualification

• Minimum of 4 years relevant experience in Capital Market.
• Registration as a sponsored individual with the Securities and Exchange Commission.
• A professional qualification is desirable.
• Law degree is an added advantage.