Compliance Officer

9 hours ago

Singapore TANGSPAC CONSULTING PTE LTD Full time

Regulatory Management

Timely manage regulatory changes, updates and obligations such as gap analysis, update policies and procedures to ensure timely implementation and compliance, and perform an annual review of relevant policies & procedures.

AML/CFT Fulfil AML/CFT

Enterprise Wide Risk Assessment

Support relevant offices with the annual review of ML/TF Risk Assessment Methodology, periodic EWRA exercise, analysis, risk treatment actions plans and narrative reporting to the Board and Senior Management.

FATCA & CRS

Ensure timely compliance of all FATCA and CRS requirements and obligations for all relevant ATG entities and client entities, provide advisory, ensure accurate classification and identification including self-certification of reportable accounts; registration as necessary; reporting of reportable accounts; sampling checks and rectification of deficiencies; and submission of concise progress updates to stakeholders on a regular basis.

Personal Data Protection

Support relevant offices to comply with internal policies and procedural requirements, provide training to staff, undertake periodic compliance monitoring and reviews as the second line of defence, and provide advisory on control procedures and enhancements.

Training

Create ongoing risk awareness/education and training for staff, improve documentation in accordance with internal Guidelines on Documentation and Minutes.

Compliance monitoring & thematic reviews

As a second line of defence function, perform compliance monitoring and thematic reviews as directed by the Director, Group Compliance and/or Board and Senior Management of relevant offices, provide reports of observations, findings and recommendation. Management Information Reporting Timely provide accurate and concise progress updates via MI Reporting (including detailed data tracking) to stakeholders on a monthly basis.

Regulatory & Audit

Support with all aspects of regulatory, audit and independent review related communications, requests, inspections, process and ensure all information is timely provided, accurate, complete and appropriate. Support the first line of defence, Board and Senior Management with all related deliverables including remedial actions, risk management actions and enhancement to control framework in a comprehensive manner and to stipulated deadlines.

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