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Head of Compliance

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Client Overview:

A multinational financial services company.

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Job Description and Qualification:

  • The Compliance Head will ensure that the whole organization complies with applicable laws, rules, regulations and policies. Develop and apply an effective compliance program to manage the risks of illegal, unethical and improper conduct.

  • Provide advice and solutions to manage compliance and regulatory risks so as to support business to grow quality business, including new business initiatives and existing business processes.

  • Partner with Legal Department to identify changes in applicable laws and regulations that are relevant to the Company and make necessary modifications to policies and procedures.

  • Create and implement, in collaboration with HR and departments, compliance training and communication plan for employees.

  • Design and execute, working with Agency, Operations and others as appropriate, compliance training and communication plan for agency force.

  • Prepare and implement Compliance Review Programs for key compliance risk areas to test whether laid-down control procedures and company policies are properly adhered to

  • Report internal control weaknesses in relation to regulatory and compliance risks and recommend corrective actions to management and follow-up on the action taken on the findings.

  • Sustain and improve the Whistle Blowing initiative throughout the business and ensure its effectiveness.

  • This position will report to the Chief Risk Officer.

The ideal candidate must have 10 to 15 years of experience in Compliance in financial services entities.

Must be graduates of MBA or Bachelor of Laws / Juris Doctor.

With trainings or certifications in Corporate Governance, AML, Compliance trainings, preferably CAMS, Certified Compliance Associates or Professionals.

Must be proficient in computer softwares.