Compliance Officer and MLRO

  • Merceron Capital Limited
  • ebene
  • 20/07/2020
Full time Banking Finance Legal Management Professional Services

Job Description

Purpose of Role   

To lead, manage, and oversee all compliance aspects of the company and to ensure ongoing compliance with applicable rules, regulations, and standards of best practice.

Principal Duties & Responsibilities including but not limited to:

  • Implement internal programs, controls, and procedures in line with local applicable financial regulations and ensure their ongoing compliance;
  • Serve as a resource on all compliance matters including drafting and standardizing compliance policies and procedures;
  • Oversight to the Conduct Risk elements of FSC (and other applicable regulatory authorities) rules and guidance;
  • Conduct timely compliance reviews;
  • Detailed updates and guidance to senior executives and the Board including the impact regulations, including AML/CTF, have on the Firm and what steps the business needs to take to ensure compliance;
  • Evaluate and review suspicious activity and promptly investigate suspected breaches of legal and regulatory requirements or internal compliance policies and standards to ensure that any material breach is appropriately resolved;
  • Assist the FSC and other regulatory bodies/exchanges with investigations;
  • Ensure that complaints by clients are promptly and fairly handled;
  • Oversee approval process for advertising and research material from the compliance perspective;
  • Implement and monitor the operation of the AML/CTF Programme;
  • Ensure staff are complying with the regulatory guidelines;
  • Provide advice to the business unit on issues of compliance.



  • Degree in Law, Finance, Banking or Equivalent;
  • Certified compliance professional with deep knowledge of the financial service industry’s standards and regulations (preferably to have a relevant Compliance Officer’s Examination and approved by the FSC);
  • Proven with at least 6 years of practical work experience as a compliance specialist;
  • Strong report writing skills;
  • Excellent command of English, both written and verbal;
  • Excellent analytical skills to understand the key points from complicated files.

Remuneration Package: Negotiable