Group Compliance Head  

The Head of Compliance (Group Compliance Officer) is responsible for direct oversight of group-wide compliance matters and serves to perform the oversight role to ensure that the Group complies with applicable laws, regulations, codes, and standards. Coverage includes securities brokerage, investment house, and financing company.

The Compliance Unit of Unicapital Group is responsible for the overall supervision of the Company’s business and operational activities to ensure compliance with relevant internal policies and procedures, applicable laws, regulations, guidelines, and policies governing the industry.

Direct accountability to the Board of Directors in respect to regulatory compliance and/or non-compliance by the whole group.

Regularly reviews various areas of operations to determine compliance and/or non-compliance to regulations and potential regulatory issues

Update the BOD regularly (monthly) on regulatory compliance matters, issues, and developments during the month.

1. Internal Processes

 Development of Compliance Infrastructure for Business Units and Support Units

 Establishing and drafting Compliance Policies

 Reviewing Operational Manuals/ Policies

 Reviewing New Products

 Conducting Surprise Reviews

 Investigate, act on and resource non-compliance issues.

 Submission of various regulatory reports.

2. Safeguarding the reputation of the group.

3. Supporting the Regulator’s call for best practices in Corporate Governance and anti-money laundering initiatives

4. Led the Unicapital GroupCompliance infrastructure improvement and streamlining of functions, policies, and practices

5. Seeking a level playing field for the industry in the Financial Sector Liaison Committee and contribution to AMLA initiatives for the industry.

6. Provides regulatory training for all employees and design training programs applicable to the needs of each department.

• Bachelor Degree in finance, Accounting, Economics, or any business course;
• 8-10 years experience in Risk, Compliance, or Audit;
• Understanding of Corporate Governance Requirements and principles of risk management and compliance principle;

• Must be licensed by the SEC to act as an Associated Person;

• Computer literate, Planning, Leadership Skills, Problem-Solving, Business Analysis, Good Interpersonal skills, and Excellent written and verbal Communication Skills.