Career at RockFin


Senior Executive - Compliance

Deadline for submission 10 March 2023

Kindly express your interest by sending your CV on:

For more information, please visit our LinkedIn and Facebook page: RockFin

Key Responsibilities:

· Perform and review customer due diligence checks / screenings;

· Conduct necessary compliance reviews across the business and on client files;

· Produce/write reports summarizing relevant findings following compliance reviews/similar exercises or any paper / statement / communique issued by the competent authorities;

· Prepare and assist in the preparation of any marketing documentation, newsletter, website content, social media post;

· Contribute in the preparation, review and updating of the AML/CFT constitutive and Compliance manuals;

· Be up to date with and ensure compliance with the various regulations and regulatory agencies;

· Assist in the preparation of and conduct AML/CFT trainings;

· Perform and assist in the preparation of Business Risk Assessment and clients’ risk assessments;

· Perform and assist in the preparation of AML / CFT Independent Audit report.

· Ensuring regular review on World Check findings;

· Assist in the preparation of finance documentation for the finance department;

· Identify new business opportunities;

· Supervise, review and oversee the work of colleagues;

· May be requested to work at client premises on special project; and

· Perform any other related work as may be requested by the Reporting line.


Desired Profile & Experience:

· Degree in Law/ Finance/ management or other related qualifications.

· 3-5 years of experience in the compliance team or in the financial services industry.

· Strong knowledge of industry processes and regulations.

· Outstanding communication and interpersonal abilities.

· An analytical mindset with excellent organizational skills.

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