Regulatory Compliance Specialist

2 days ago

Singapore StriveX Full time

S- Posted by
- Suhani Malhotra- Recruiter**Regulatory Compliance Specialist (AVP)**

Excellent opportunity to join a well-reputed international financial institution. The role sits within their fund services team to support the compliance function. This is a sole contributor role and this individual will have the chance to progress into a Head of Compliance role.

Overall role is to act as the Compliance Associate Vice President - Fund Services, covering Asia, particularly ensuring compliance with applicable laws and regulations in Singapore and Hong.

**Responsibilities**:

- Assist with collating licensing related documentation as well as review licensing / exemption related documents/forms
- Participate in discussions with relevant regulators
- Handle internal and external audits
- Submit regulatory reports on a timely basis
- Maintain, monitor and update local laws and regulations
- Ensure all licensed representatives of the Fund Services business in Asia file their periodic declarations
- Ensure the Fund Services risk assessment framework is maintained up-to-date
- Implement and monitor the Financial Crime Prevention program that covers AML/CFT, Anti-Fraud, Anti-Bribery & Corruption, and market abuse/insider trading, including but not limited to reporting suspicious activities
- Prepare reports for the respective committees in line with their defined mandates and terms of references
- Represent compliance in internal committees and when required, liaise with external parties such as legal advisors, business partners, auditors, regulators and customers
- Prepare and conduct compliance training for Fund Services staff

**The Successful Applicant**:

- Minimum 8-10 Years of compliance experience from a bank or a financial institution
- Strong regulatory compliance experience
- Excellent understanding of regulatory expectations

Referrals are appreciated.

EA Licence No : 23S2077

Registration No : R1770166

StriveX Pte Ltd, EA License No: 23S2077

Suhani Malhotra, Registration No: R1770166
- ABOUT COMPANY
- StriveX Pte Ltd
- Singapore
HR & Recruitment

StriveX is a boutique recruitment consultancy firm that believes in always connecting the right talent with the right businesses. Together, we don't j...

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