Compliance Manager

5 days ago

Singapore Guotai Junan International Singapore Holdings Pte. Limited Full time

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Compliance
- Responsible for day-to-day management of compliance issues
- Oversees and ensure overall compliance with the relevant MAS regulation and internal compliance requirement not limited to MAS Representative appointment and licensing regime, regulatory filing etc.
- Responsible for monitoring of staff dealing as required by internal procedures
- Facilitate audit processes for compliance related matters by internal and external auditors.
- Conduct AML reviews and control in compliance with MAS Notice and Guidelines and Cayman AML/CFT regime for company and relevant funds respectively
- Responsible for initial assessment and subsequent reviews of all Outsourcing Arrangement
- Advises the relevant function on appropriate implementation of Business Continuity Management measures
- Provide staff with up-to-date training in respect of latest developments in rules and regulations and other important matters
- Develop policies and procedures, internal controls to fulfil relevant regulatory requirements including liaising with Compliance Department in Hong Kong for policies/procedures.
- Responsible for funds compliance matters not limited to AEOI requirements, regulatory reporting, implementation of funds policies/procedures, review/approve funds related documentation, monitoring investment restriction & hands-on with AIM CMGR rules is an advantage etc.
- Any other ad-hoc compliance projects as assigned

Job Requirement
- Minimum of 7 years regulatory compliance experience, working experience in fund management activities will be an advantage
- Able to work independently, be adaptable and be a team player
- Good time management skills, with the ability to prioritise and multi-task
- Be comfortable in dealing with evolving business changes and operating in a fast pace environment

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