Internal Audit

2 weeks ago


Singapore EQUIS CENTRAL SERVICES (SINGAPORE) PTE. LTD. Full time

**Role**:
Executive reporting to the Group General Counsel and Audit & Risk Committee, supporting the risk, compliance and regulatory functions of Equis

**Key Responsibilities**:
Internal Audit
- Establish and develop internal audit processes necessary, including monitoring
- Manage and conduct internal audit function across the Equis offices
- Develop and implement appropriate operational risk management framework and monitoring
- Make recommendations to senior management for improvements of controls, reports, and procedures required to maintain a robust compliance framework

Risk and Compliance
- Management of compliance functions across the Company’s offices
- Update of policies and procedures and drafting new policy documents as required
- Ensure the on-going monitoring and adherence to the policies and procedures
- Annual compliance testing
- Keep abreast of all relevant legislation and regulations, in relevant jurisdictions where Equis conducts business, with particular focus on Licensing, KYC and Anti-Money Laundering.
- Ensure professional staff are kept abreast of all relevant regulatory updates
- Handle compliance matters such as KYC, anti-money laundering clearance, conflict clearance and staff personal trading clearance
- Conduct AML/KYC ongoing monitoring and risk-assessment review; sanctions and adverse news screening
- Monitor and maintain AML/KYC/FATCA logs and filings to ensure timely and accurate reporting including responding to queries on the same
- Handle compliance related queries, as appropriate
- Monthly incident and breach reporting
- Conduct all new employees’ compliance induction training and ongoing staff training on risk and compliance
- Prepare compliance reports for board and Audit & Risk Committee meetings
- Ad-hoc project work and support to the Group General Counsel as required
- Assist in the cultivation of a culture of compliance
- Conduct one-self in a professional manner that reflects the core values of the Company

**Skills**
- Strong interpersonal skills
- Good communication and presentation skills (including report writing)
- Proficient in Word, Excel and PowerPoint
- Highly organized, methodical and efficient
- Strong work ethic
- History of working effectively in a team environment across multiple jurisdictions
- Ability to work independently to achieve optimal results
- Ability to understand regulatory legislation and documents


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