Senior Compliance Officer

2 months ago

Singapore CMB International Capital Corporation Limited Full time
Job Description

CMB International Capital Corporation Limited is seeking a highly skilled and experienced Senior Compliance Officer to join our team in the Private Wealth Management division. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in compliance with relevant laws and regulations.

Key Responsibilities:
  • Financial Crime Compliance: Develop and implement policies, procedures, and systems to prevent and detect financial crime, including Anti-Money Laundering (AML), Counter-Terrorism Financing (CTF), Fraud, Sanctions, Anti-Bribery and Corruption (ABC), and Cyber Crime.
  • Control Room Function: Lead the control room function, including maintaining restricted lists, entertainment and gifts, personal account dealing, conflicts of interest, and annual 'Fit and Proper' attestation.
  • Private Wealth Management Business Processes: Be the main point of contact for Private Wealth Management business processes, including account opening reviews, third-party transfers, and large fund withdrawals/deposits.
  • Compliance Policy Development and Implementation: Support the development of compliance-related policies and lead the implementation of related procedures, prepare and deliver training, and provide guidance and post-implementation support.
  • Regulatory Compliance: Coordinate and support licence representative and director's applications with the Monetary Authority of Singapore (MAS), maintain MAS correspondence, representative's register, and other key regulatory records.
  • Marketing Materials and Client Communications: Review and approve marketing materials, client communications, and other client-facing documentation to ensure compliance with regulatory requirements.
  • Reporting and Escalation: Provide periodic reporting and escalation of issues to the Head of Compliance and Risk on a timely basis to strengthen the compliance culture in CMB International Capital Corporation Limited.
  • Complaint, Breach, and Error Reporting: Maintain complaint, breach, and error reporting and other key compliance records.
  • Ad-hoc Tasks: Support the Compliance and Risk functions in discharging their responsibilities as required, and specifically in terms of dealing with risk and regulatory matters.
Requirements:
  • Minimum 5-7 years of relevant experience: Preferably in a brokerage house and corporate finance company.
  • Experience in leading compliance projects: In terms of financial crime (AML/CFT controls), trading, and control room function.
  • Analytical and Investigative Skills: Ability to speak out and act when appropriate.
  • Collaboration and Time Management: Ability to work efficiently and effectively both alone and as part of a team, with excellent time management skills and ability to work to tight deadlines and under pressure.
  • Language Proficiency: Proficient in English and Chinese.

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