CLSA Global Markets Pte Ltd | Financial Crime Compliance Manager, Compliance
1 day ago
Financial Crime Compliance Manager, Compliance
Locations: Singapore
Time Type: Full time
Posted on: Posted 3 Days Ago
Position Description
The Financial Crime Manager is responsible for managing the financial crime compliance function for all the licensed CLSA entities in Singapore (“CLSA SG Entities”), providing advice and collaborating with business and relevant support functions in the development of controls, processes, and procedures to ensure AML/CFT risks are effectively identified and mitigated. This role ensures effective monitoring of clients and transactions for timely identification and reporting of AML/CFT related irregularities and suspicions to management and regulators.
The Financial Crime Manager will report to the Head of South East Asia Compliance and the Regional Head of Financial Crime Compliance, and will be supported by the regional Finance Crime Compliance team in Hong Kong.
Key Areas of Responsibilities
Acts as the Senior Manager under the MAS Guidelines on Individual Accountability & Conduct responsible for financial crime prevention, managing the AML/CFT risks of all CLSA SG Entities in accordance with MAS Notice SFA 04-N02 and associated guidelines, and the CLSA group AML/CFT policy.
Conducts Enterprise-Wide Risk Assessment on Money Laundering and Terrorism Financing for all CLSA SG Entities.
Acts as the MLRO for all CLSA SG Entities, responsible for effective monitoring of all business relationships and client transactions to identify potential irregularities and suspicions from an AML/CFT perspective, and submitting STRs to the MAS/CAD in a timely manner.
Monitors daily operations of the CLSA SG Entities and ensures adequate financial crime prevention measures are adopted in accordance with all regulations, policies, and procedures.
Advises management, businesses, operations, and support teams on AML/CFT requirements to facilitate client onboarding, business initiatives, and negotiations.
Reviews KYC measures conducted by the client onboarding team and conducts periodic reviews on KYC documentation to ensure compliance with regulatory and internal requirements.
Ensures all clients of CLSA SG Entities are given appropriate AML/CFT risk ratings and that enhanced CDD measures are implemented for high-risk clients.
Assists with ad-hoc checks, risk reviews, remediation, and screenings of clients, vendors, and counterparties as needed.
Monitors developments and provides key updates on related AML/CFT laws, regulations, and risk trends, escalating any key or high-risk financial crime compliance issues.
Collaborates with business and relevant support functions in the development of AML/CFT controls, processes, and procedures to ensure risks are effectively identified and mitigated.
Represents the Financial Crime Compliance function during New Product Approval processes, providing financial crime prevention related advice and ensuring requirements are met.
Examines the appropriateness of the group’s financial crime related policies and makes necessary amendments or changes to align with regulated business activities of CLSA SG Entities.
Conducts Financial Crime related training for Singapore staff as required, ensuring all relevant staff complete the training.
Conducts monitoring to ensure compliance with relevant Financial Crime related policies.
Timely escalates material AML/CFT issues or exceptions pertaining to CLSA SG Entities to the Head of South East Asia Compliance, the Regional Head of Financial Crime Compliance, and local management.
Provides monthly Financial Crime Compliance updates to local management and periodic updates to the board of directors of CLSA SG Entities.
Handles MAS, SGX, internal, and external audits relating to AML/CFT focus areas.
Requirements
At least 10 years of working experience in compliance, with relevant account opening and KYC experience, some of which must be within a financial institution.
Degree holder required, preferably in Law, Accounting, or a related discipline.
Financial Crime/AML related certifications/qualifications, e.g., ACAMS.
Familiarity with or direct experience in Financial Crime, including significant retail, wealth management, and institutional brokerage experience.
Good knowledge of securities laws, specifically the SFC regulations, AMLO, operations, products, and services, especially those of Hong Kong.
Self-motivated, independent, and pleasant personality with excellent interpersonal skills.
Attention to detail, organizational, and multi-tasking skills; ability to manage competing stakeholders.
Demonstrated leadership ability as well as sound management skills to develop, guide, and direct team members.
Excellent analytical skills with the ability to analyze large amounts of data, decipher higher risk attributes, and disposition appropriately.
Good presentation skills.
Proficiency in Microsoft Office Applications for data collection and interpretation of results that can be presented clearly and concisely.
Good command of written and spoken English; proficiency in Chinese will be advantageous.
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