Compliance Executive – Ensure Regulatory Adherence

About the role

The Compliance Executive will support the Compliance Manager in ensuring that all corporate files and client onboarding processes meet legal and regulatory standards. This role requires a high level of confidentiality and the ability to work both independently and as part of a team.

Key responsibilities

• Conduct due diligence on prospective clients before onboarding.
• Perform periodic reviews of corporate files in line with regulatory requirements.
• Develop, review and update legislation, procedure manuals and other compliance frameworks.
• Identify potential compliance vulnerabilities and recommend corrective actions.
• Assist in creating and delivering compliance training programs.
• Prepare compliance reports for management and governance committees.
• Investigate complaints and coordinate action plans with relevant departments.
• Support regulatory inspections and monitor changes in legal requirements.
• Provide ongoing compliance advice to management and staff.
• Carry out any other tasks assigned by the Compliance Manager.

Required profile

• LLB (Hons) or equivalent law/management degree.
• Minimum of 3 years’ experience in compliance or related legal functions.
• Excellent verbal and written communication skills.
• Strong analytical, interpersonal and organisational abilities.
• Ability to work overtime when required.

Required skills

• Proficiency with Microsoft Office applications.