Compliance Officer

2 weeks ago

Singapore CRESCENT ASSET MANAGEMENT ASIA PTE. LTD. Full time

3 years exp

**Roles & Responsibilities**

**Compliance Officer - Job Description**
- Day-to-day management of regulatory compliance issues
- Monitoring and ensuring compliance with MAS Regulatory Instruments (i.e SFA, Notices, Guidelines etc) and internal compliance requirement including but not limited to accurate and timely regulatory filings (notifications, quarterly/annual fillings and surveys), and maintaining of compliance registers and records.
- Working with Fund Administrator to performing customer due diligence, risk assessment and ongoing periodic review in accordance with the Firm’s policy and relevant AML/CFT regulations
- Performance of AML EwRA on a firm level
- Working with Fund Administrators to validate FATCA/CRS responses and perform fillings in line with Cayman requirements
- Conducting initial and periodic due diligence on service providers and review of service level agreements in line with requirements under the MAS Outsourcing Guidelines
- Monitoring of staff personal dealing and outside business interest in line with internal policies
- Keeping abreast of regulatory developments in Singapore and performing the relevant gap analysis and preparing regulatory updates.
- Updating and upkeeping of Compliance framework, manuals and policies in line with prevailing regulatory developments
- Working with compliance service providers and reviewing training materials (including but not limited to AML, Cybersecurity and General Compliance training)
- Facilitating and responding to requests from auditors (external and internal) as well as compliance reviews
- Monitoring of FINTEL and cyber intelligence for escalation to IT vendors to ensure that Firm’s cybersecurity is robust
- Attending of Fund Board Meetings, Risk Committee Meetings and taking of minutes
- Supporting the operations team in compliance requests and queries from counterparties
- Undertaking ad-hoc tasks as assigned by the COO

**Requirements**:

- Thorough knowledge of Singapore regulatory environment.
- Education: Degree in an equivalent

No information added.

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