Compliance Senior Associate Jobs

COMPLIANCE SENIOR ASSOCIATE

Responsibilities:

Preparing, monitoring, and identifying problems and to ensure the compliance functions are carried out and responsible for the following, including and not limited to the sharia products:

• Reviewing and monitoring Company Policies related with the Securities Traders.
• Handling documentation related with the Compliance functions.
• Develop, coordinate, monitor, and participate in education and training to the employees in accordance with their duties and responsibilities required by the regulations; not limited to Anti Money Laundering and Prevent the Terrorism Financing.
• Implement and maintain compliance risk management with Indonesia regulatory, including Company’s Policies.
• Establish and maintain effective compliance risk management, including monitoring and reporting to the company.
• Monitor and supervising the Company’s portfolio management.
• Fulfil the inspection calls from the regulatory institutions related with the clients’ transactions.
• Take rapid response to violations and arrange adjustments to be reported to Management of the Company and Head Quarter.
• Develop Compliance Policies for Company.
• Prevent disclosure of the confidential company data by employees.
• Conduct socialization related with the new regulations.
• Act as advisory and/or problem solver related with the problems and constraints face by each of functions according to the applicable laws and regulations.
• Conduct regulatory request to fulfil Company data.
• Carry out internal control of the Company.
• Monitor, supervise, and educate the prevention and/or eradication of criminal acts against money-laundering and terrorism financing.
• Monitor securities transactions of the Company and other affiliated parties.
• Monitor the license of the Company and employees.
• Preparing the working papers to monitor the Company’s compliance with the applicable regulations.

Requirements:

·Must have WPPE License.

·Minimum bachelor’s degree in any field.

·Minimum 3-years experiences in the same position, especially in capital market industry.

·Having good knowledge and understanding of capital market regulations, products, and services.

• Familiar with the sharia principles and process in capital market.

·Have good personality, energetic, positive attitude, responsible, independent,and a fast learner.