
Compliance Executive
7 days ago
**Responsibilities**
- Conduct Customer Due Diligence reviews in accordance with AML requirements.
- Acting as STRO and PDPO Officer.
- Assist in ensuring continued compliance with requirements for MAS Appointed Representatives (“Fit and Proper” Annual Declaration, Training hours, Register of Interests, etc.).
- Liaise with Compliance Advisor on the updating and implementing of Policies & Procedures.
- Liaise with Internal Audit and Compliance Advisor on Annual Reviews, including additional inspection or survey from Governments.
- Liaise with Fund Admin on KYC monitoring.
- Carry out other periodic/ad-hoc compliance activities required of the business (BCP exercise, Outsourcing Due Diligence, etc).
- Conduct all regulatory submissions within the timelines and guidelines and regulatory requirements.
- Liaise with corporate secretaries and stakeholders to facilitate the preparations of draft notices, resolutions, minutes of meetings and other corporate secretarial documents.
- Ensure proper maintenance of compliance and corporate related documents and records.
- Any other ad-hoc tasks as assigned.
**Job Requirements**
- A Bachelor’s degree in law, accounting, business, finance or a related field.
- Experienced in compliance standards and policies, audit techniques, regulatory guidelines, and operational/procedural techniques.
- Soft skills such as good communication/speaking ability and leadership ability.
- Able to work in high pressure environment.
- Strong interpersonal, communication (written and verbal), and organizational skills with the ability to work independently, as well as collaboratively within a team environment.
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