Compliance Manager

1 week ago


Singapore CAPBRIDGE PTE. LTD. Full time

**Roles & Responsibilities**
- Lead the development of compliance controls framework and implementation of compliance-related processes and procedures
- Keep abreast with regulatory changes and provide compliance advisory to senior management and business
- Create, maintain and ensure that all operational procedures comply with applicable regulations
- Conduct monitoring on licensing conditions and regulatory requirements
- Perform compliance reviews and assist in preparing reports to the senior management / board
- Act as point of contact with regulators (e.g. MAS, etc) directly on queries and regulatory submissions
- Provide compliance advisory and support on client due diligence for client on-boarding and KYC periodic reviews and AML/CFT matters.
- Identify, provide assessment and maintain documentation on compliance issue e.g. conflict of interest, complaints, etc, as well escalate issues to senior management/ Board in line with policy
- Maintain registers in line with regulatory requirements
- Conduct training and updates on compliance topics and regulatory requirements
- Preparation of data review and submissions to MAS
- Any other projects/ duties as may be assigned

**Requirements**:

- Minimum 3 experience in compliance in a financial institution in Singapore
- Bachelor degree in any discipline. Degree in accountancy, finance, business administration or law is a plus
- Familiar with MAS regulations and compliance procedures and workflow, specifically with regard to CMSL and recognised market operator (RMO)
- Demonstrated successful track record in working with internal stakeholders (e.g. marketing, capital markets, legal, technology, finance and HR) and external partners
- Excellent Communication, interpersonal and influencing skills
- Be a self-starter, a highly motivated person able to work in a fast paced entrepreneurial environment that is continually changing
- Professional compliance related certifications a plus


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