Compliance Manager

1 week ago

Singapore uSMART Securities (Singapore) Pte. Ltd. Full time

**Responsibilities**:

- Provide compliance advice on rules and regulations relating to the capital market product dealing, financial adviser and fund management businesses and internal policy and procedures requirements;
- Perform onboarding of new clients in accordance with relevant KYC/AML regulatory requirements;
- Perform periodic review of transactions and investigation with respect to potential trading malpractices identified;
- Perform ongoing AML/CFT review and monitoring on client accounts including transaction monitoring, name screening, ECDD etc;
- Keep abreast of development in regulatory requirements to ensure adherence to new and existing requirements. This may include updating policies and procedures and providing regulatory updates to Business;
- Assist in any ad-hoc matters and projects as assigned by the Management;
**Job Requirements**:

- Bachelor’s Degree, preferably business, finance or laws related;
- [4 to 6] years of compliance experience in financial institutions preferably fintech company;
- Possess sound knowledge and/or working experience in MAS regulations, SFA, FAA, transaction monitoring, AML/KYC and funds/discretionary investment management;
- Proactive, objective and possess an aptitude of risks and controls;
- Attention to details and possess an enquiring mind;
- Good verbal and communication skills in English and Mandarin;
- Good at reading and writing in Chinese;
- Knowledge of Microsoft Office Suite (Word, Excel, PowerPoint);Support tax compliance, accounting and audit functionsAssist on federal income tax auditsAssist with environmental compliance auditsEnsure tax compliance with SoxManage the compliance/reporting staffManage the compliance process for federal tax filing requirementsAssist with regulatory compliance examsManaging income tax audits by local tax inspectors and responding to income tax-related correspondenceIdentified during internal and external compliance auditsAddress audit, accounting, and compliance issuesSupport the departments compliance with cost accounting procedures and internal controls over financial reporting (SOX)Prepare federal income tax returns for ABBComplete all required compliance trainingOversee all aspects of US income tax compliance processesPerform monthly compliance and invoice audits related to environmental compliance and trashGovernmentdirected export compliance audits and assessmentsDirect the internal investigation of compliance issuesEncourage leveraging of internal compliance activitiesSupport federal income tax filing positionsPublish compliance strategies and requirements

Bachelors Degree

Minimum of 4 year(s) experience needed for this position

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