Compliance Assistant Manager or Manager
2 weeks ago
Position Overview
We are seeking an experienced Compliance Professional to oversee and ensure adherence to regulatory requirements, policies, and procedures in accordance with MAS guidelines. The ideal candidate will have a strong understanding of Asset Management services and related investment products, along with a keen eye for detail and a proactive approach to compliance matters.
Key Responsibilities
• Regulatory Compliance: Ensure full compliance with MAS regulations, rules, and guidelines pertaining to capital markets products.
• Policy Implementation: Develop, review, and implement compliance policies, procedures, and controls to mitigate risks and ensure adherence to regulatory standards.
• Monitoring and Reporting: Conduct regular monitoring, surveillance, and audits to identify and address any compliance issues or potential risks.
• Training and Education: Provide compliance training to staff members on relevant regulatory requirements and updates.
• Internal Advisory: Serve as a key point of contact for internal queries related to compliance matters, offering guidance and support to various departments.
• External Communication: Interface with regulatory authorities and external auditors as necessary, ensuring timely and accurate responses to inquiries and reporting requirements.
• Risk Assessment: Conduct risk assessments and assist in the development of risk management strategies to maintain a robust compliance framework.
• Stay Updated: Keep abreast of regulatory changes, industry trends, and best practices to ensure the firm's compliance practices remain up-to-date and effective.
Qualifications and Skills:
• Bachelor's degree in finance, Law, Business Administration, or related field. Advanced degrees or certifications (e.g., CAMS, ICA Diploma in Compliance, etc.) are a plus.
• Minimum of 5-8 years of experience in compliance within the financial services industry, specifically in MAS-regulated entities dealing in Fund Management
• Comprehensive knowledge of MAS regulations, guidelines, and best practices related to capital markets in fund management
• Strong analytical skills and attention to detail with the ability to interpret and apply regulatory requirements effectively.
• Excellent communication and interpersonal skills to interact with various stakeholders, both internally and externally.
• Proven ability to work independently, prioritize tasks, and handle multiple projects simultaneously.
• Ethical conduct and integrity, maintaining confidentiality and professionalism in all matters.
Licensing
Asset Management
Due Diligence
Risk Assessment
Regulatory Compliance
Risk Management
Securities
Audit Compliance
Surveillance
Capital Markets
Compliance
compliance policy
Banking
AML
Capital
Regulatory Requirements
KYC
Screening
Audit
Financial Services
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