![GUOLINE ADVISORY PTE. LTD.](https://media.trabajo.org/img/noimg.jpg)
Legal & Compliance Officer (Asset Management)
2 weeks ago
Responsibilities:
Legal
- Structure, draft and review legal documentation.
- Where necessary, assist in the negotiation of agreements and provide transactional legal support and guidance to the group's Singapore business lines.
- Participating and providing support from a legal coverage and support on groupwide projects and the launch of new business lines and products.
- Liaise with and manage external counsel locally and internally to address legal needs of the group. Manage relationships and communication with regulatory bodies and authorities as well as industry groups.
- Ensure compliance with the requirements applicable to the Asset Management licence.
- Prepare reports for Regulatory Authorities, Board of Directors and Management team.
- Ensure timely and accurate regulatory reporting for licensed entity.
- Keep abreast of applicable regulatory and statutory matters relevant to the industry to ensure that management is fully informed of current, new or proposed legislations.
- Responsible for risk assessment and risk review processes at client onboarding phase including AML/CDD/KYC/FATCA/CRS, ongoing review and administration.
- Review and maintain organisation's Compliance and Risk Management policies and development of key risk and compliance documentation including FATCA/CRS review, BCP, Disaster Recovery Plan, Risk Assessment, Risk Management Processes and Procedures, Enterprise-Wide Risk Assessment process for the licensed entity.
- Provide training and ensure adherence with compliance and risk management policies and protocols by all staff.
- Ensure that a rigorous Operation Risk and Internal Control structure is established and implemented throughout the business and that appropriate controls are implemented.
Requirements:
- Bachelor of Laws degree with ICA qualification preferred.
- Minimum of 37 years of relevant working experience in the Asset Management, Wealth Management industry.
- Experience in implementing compliance and risk management framework in the financial industry.
- Excellent communication skills and provide proactive legal guidance.
- Ability to build and maintain effective internal and external relationships.
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