Compliance Specialist

3 days ago

Singapore CSCGFM CORPORATE SERVICES (SINGAPORE) PTE. LTD. Full time

The Compliance Department ensures a company functions in a regulatory and ethical manner. Compliance sits within the second line of defence and this role would work closely with the APAC Funds Compliance Leaders to mitigate compliance risks, reporting and monitoring activities. They shall support the APAC Funds office on compliance related projects and form part of the regional Funds Compliance team.

The role shall be responsible for implementing and supporting the compliance monitoring programme, observe the compliance framework and company policies, and assisting in the training of employees on compliance risks within the fund services area.

The duties shall include review and evaluation of first line of defence work as part of the compliance monitoring programme. Observe company policies to meet relevant regulatory requirements. Ensure existing governance and control processes to ensure they are appropriately working and applied by the lines of defence. Report as required on compliance matters internally.
- Review High Risk KYC cases
- AML/CFT & KYC advisory
- Perform Compliance Testing on Fund Services KYC
- Perform review on on-going screening alerts
- Provide training and guidance to Operations team in transferring KYC cases to KYCP
- Advisory on AML/ CTF related matters to business team
- Assist the Compliance Manager on implementation and monitoring of Compliance policies and procedures
- Mentor less-experienced peers and display leadership as needed
- Compliance Partner with Business and Services team

**Requirements**:

- Bachelor’s degree in business management, finance, law or a related field.
- Minimum 5 years’ proven KYC/CDD process experience within fund services or associated compliance/risk area.
- Strong intrapersonal and communication skills.
- Deep knowledge of financial services compliance risk standards and related stakeholders.
- Analytical with strong attention to detail.

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