Senior Compliance Consultant

3 days ago

Singapore KAI GLOBAL CONSULTING PTE. LTD. Full time

Kai Global Consulting is a one stop, end-to-end consulting and services provider, specialising in the alternative investment industry. The company is headquartered in Singapore and offers scope of services from back to middle office.

Kai Global Consulting seeks to add a motivated and disciplined member to represent the Company as the point of contact to lead, provide consultation support and advise to its existing and prospective Clients.

**Responsibilities**

**Regulatory Compliance -**
- Subject expert on key applicable regulations such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, AML/CFT regulations
- Provide regulatory/compliance advisory support to customers
- Organize and conduct staff compliance trainings
- Identify global regulatory trends and developments that may impact business areas and advise on any material impacts to current activities
- Act as a liaison officer with the Monetary Authority of Singapore (MAS) for customers
- Managing regulatory and internal reporting and assist with all regulatory submissions, surveys and questionnaires

**Anti-Money Laundering and Combating the Financing of Terrorism and Proliferation of Financing-**
- Identify and verify customer identities, ownership structures, adverse news searches during onboarding stage and on a continuing basis
- Perform risk assessment for new customers during on-boarding with documentation
- Perform AML/KYC screening and customer due diligence procedures based on identified risk rating
- Conduct ongoing transaction monitoring
- Work closely with other departments to ensure smooth onboarding and ongoing assessment of investors

**Compliance Manual-**
- Develop policies and procedures to ensure compliance with MAS Capital Market Service (CMS) license requirements
- Assist customers in the implementation and maintenance of the adopted compliance and risk management (“EWRA”) policies and procedures
- Update and inform customers on latest AML, CDD, and KYC regulations to ensure compliance with local and international standards
- Review, revise and uplift all compliance manuals and policies and procedures, including risk management policies and procedures.

**AEOI-**
- Compile, record, scan and check for completeness of documents received.
- Prepare and submit annual FATCA/CRS filing to applicable authorities in accordance with company procedures.

**Others -**
- Provide support and guidance to new and junior members
- Support the compliance team with any ad-hoc tasks or projects from time-to-time.

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