Compliance and Risk Management Specialist
4 weeks ago
As a key member of the STRAITS INVESTMENT MANAGEMENT PTE. LTD. team, you will be responsible for ensuring ongoing compliance for a Capital Markets Services (CMS) License Holder. This includes assisting with all regulatory submissions, surveys, and questionnaires, as well as performing annual outsourcing due diligence reviews for outsourced service providers.
Key responsibilities include:
- Acting as a liaison officer with the Monetary Authority of Singapore (MAS)
- Assisting with the onboarding and periodic reviews of investors
- Handling internal and external audit matters
- Assisting with the update and maintenance of compliance registers and internal policies and procedures
- Preparing Board meeting materials and presenting to the Board on operations and compliance matters
Requirements:
- Degree in Business or any related disciplines
- At least 3 years of risk/operations and/or compliance experience in a financial services/asset management industry
- Good understanding of MAS regulatory requirements
- Meticulous and detail-oriented
- Excellent interpersonal skills, and ability to work independently
Licensing
External Audit
Due Diligence
Regulatory Compliance
Business Continuity
Ability To Work Independently
Outsourcing
Interpersonal Skills
Risk Management
Capital Markets
Compliance
AML
Regulatory Requirements
KYC
Regulatory Submissions
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