Legal, Compliance
1 month ago
Responsibilities:
Legal
- Structure, draft and reviewing legal documentation.
- Where necessary, assist in the negotiation of agreements and provide transactional legal support and guidance to the Singapore Group’s business lines.
- Participate and provide support from a legal coverage on group-wide 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.
Compliance & Risk Management
- 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 4-7 years of relevant working experience in the Asset Management, Wealth Management industry.
- Experience in implementing compliance and risk management framework policies.
- Excellent communication skills and provide proactive legal guidance.
- Ability to build and maintain effective internal and external relationships.
Tell employers what skills you have
Negotiation
Excellent Communication Skills
Licensing
Legal Documents
Risk Assessment
Regulatory Compliance
Risk Management
Compliance
AML
Regulatory Requirements
KYC
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