Legal & Compliance Officer

1 week ago

Singapore Aeon Search Consulting Full time

**Perform duties of a compliance officer as required by local regulations**:

- Make sure all regulatory compliance (e.g Securities Futures Act, Financial Advisers Act, SEBI) are adhered
- Review of AML, FATCA, SEBI requirements and other local regulations that affects the organisation and the funds it manages or as specified from time to time
- Update regularly to the board of directors
- Make sure Fund adhere with the marketing aspects, such as disclaimers, MAS Fund and Representative registration etc
- Update policies and procedures regularly or as and when there are amendments in the respective regulations.
- Where relevant, functions as the compliance officer of the Funds managed by the company and ensure that such funds are compliant in their respective jurisdictions (eg UCITs
- Ireland) at all times
- Ensure minimum turn around time with regards to all new business initiatives

**Act in accordance with the provisions of the Companies Act and report on corporate governance**:

- Follow up with Corporate Secretary to make sure all Company Law requirements are fulfilled
- Obtaining approval from the board with regard to corporate governance
- Regular reporting to the board on the developments as part of corporate governance
- Produce the respective committee agenda and minutes on a regular basis or as may
- be required from time to time

**Carry out all legal provisions as required for effective working of the regional offshore business**:

- Examine and manage all legal issues (ie contracts, Offer documents adhoc agreements etc) pertaining to the offshore offices (ie SG, Dubai, Mauritius and in some cases India)
- Make sure the legal, regulatory and compliance risk for the company’s business is kept at acceptable levels
- Seek the advice of external legal counsel on any legal issues or foreign regulatory laws that may arise regularly.
- Examine offer documents, fund structures, etc from a legal perspective.

**To ease and co-ordinate compliance and legal related training programmes for employees on a regular basis**:

- Conduct training / seminars to communicate compliance requirements and legal regulations

**Internal and external Audit**:

- Assist and address any audit findings and facilitate the compliance and adhere to regulatory processes and requirements

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