Compliance Officer

7 days ago

Singapore ZICO Full time

**Compliance Related**
- Designated as a Compliance Officer, Anti-Money Laundering Officer and Data Protection Officer of the company.
- Act as main liaising contact person with the regulators (such as Monetary Authority of Singapore and SGX).
- Act independently to investigate on matters related to compliance.
- Assist in coordinating the required information/materials during regulatory-related audits.
- Ensure that the company’s appointed representatives understand regulatory landscape and adhere strictly to the regulatory guidelines (including fulfilling the continuing professional development requirements).
- Implement effective internal controls and risk assessments to manage/mitigate potential risks exposure.
- Remind front office/client-facing staff to perform periodic Client Due Diligence/Know your Client reviews on a timely manner.
- Submit regulatory filing/survey and management reporting within the stipulated timeline.

**Documentation Related**
- Maintain various registers of the company for record purposes, such as: Audit Issues and implementation, Complaints, Employee Declaration/Disclosure, Employee Gifts and Entertainment,
- Employee Training Hours, Employee Personal Dealing/Interest in Securities, Outsourcing Arrangements, Representatives, STR Filing, Trade Errors.
- Review policies and procedures of the company to ensure that these are updated regularly to comply with regulatory requirements.
- Vet through agreements with 3rd parties service providers (when invited) on compliance aspect.

**Corporate Finance**
- Maintaining appropriate checklists for corporate finance transactions.
- New client take-on procedures, including undertaking conflict checks and desktop-based searches as well as gathering the necessary documentation in accordance with anti-money-laundering policies.
- Reviewing transaction files of the Corporate Finance team prior to submission to the SGX.

**HR Related**
- Arrange new hire orientation concerning compliance issues
- Conduct refresher training to keep staff abreast of existing and new guideline (including those issued by the regulators as well as the DOs and DONTs).

**Requirements**:

- 5-10 years of extensive work experience within the industry or related field.
- Possess notable skills in change management, people management and presentation
- Experienced communicator (both verbal and written) in working with all levels of staff
- Good decision-making and problem-solving skills to resolve issues within reasonable timeline

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