Compliance Manager
4 days ago
We are looking for motivated professionals with relevant experience to join us as Compliance Manager/Senior Manager. The candidate will oversee the compliance matters of our company and will be the key contact person with our regulators, namely the Monetary Authority of Singapore (MAS) and Singapore Exchange Ltd. The candidate should be familiar with regulations relating to Securities and Futures Act (SFA), including AML and CFT requirements.
Job description
- Provide compliance advice and ensure that the company and licensed representatives are in compliance with the SFA and relevant SFA regulations, guidance and notices, including AML and CFT requirements, and adherence to company policies and procedures
- Monitor regulatory developments and responsible for the maintenance and development of compliance manuals, policies and procedures
- On-going compliance matters such as maintaining enterprise-wide risk assessment and outsourcing register, restricted stocks list register, review of staff trading, monitoring staff CPD training hours, conduct of annual internal compliance training and compliance review of completed transactions
- Assisting transaction teams with clients' background checks for purposes of clients on-boarding
- On-going monitoring of shareholders, directors, staff and clients for the purposes of KYC, AML, CFT and conflicts of interest requirements through commercial databases
- Attend to internal and external compliance audit requirements and queries, including maintaining regulatory relationship with the MAS
- Review and/or prepare and submit regulatory and compliance filings and surveys
- Provide recommendation on the due diligence exercise in relation to investment/ fund activities and advise on the remedial action in relation to any compliance issues identified
- Assist in ad-hoc administrative matters.
Key Requirements
- At least a Bachelor's degree or equivalent
- At least 5years of relevant experience in compliance function of corporate finance and asset management business
- Familiarity with SFA, SFR, AML and CFT requirements
- Experience in liaising with regulators, such as the MAS, will be an advantage
- Proficient in using Microsoft Office and databases such as World Check, Lexis Nexis, Questnet
Background Checks
Asset Management
Microsoft Office
Written English
Due Diligence
Risk Assessment
Regulatory Compliance
Outsourcing
Securities
Internal Controls
Compliance
AML
Regulatory Requirements
KYC
Screening
Corporate Finance
Lexis
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