Senior Compliance Officer

4 months ago

Singapur, Singapore The St. James’s Place Wealth Management Group Full time

Member for

1 year 4 months Submitted by nparnell on Jun 22 2023

Main Purpose of Job

The Senior Compliance Officer will be responsible for providing compliance oversight, monitoring and consultancy in respect of all MAS regulations relevant to the distribution business of SJP Singapore, as well as to research, manage and implement regulatory requirements and best practices set out by the regulators and relevant authorities/associations.

The individual will also be required to work closely with the business to ensure that all members of staff, appointed representatives and those associated with the company are fully conversant with and adhere to all rules and regulations detailed in the Securities and Futures Act, Financial Advisers Act, Personal Data Protection Act and the subsidiary legislations, as well as any other relevant requirements.

Key Responsibilities of the Job

• Ensure that the firm’s AML/CFT framework is aligned with the regulatory requirements and SJP Group.
• Update the firm’s AML/CFT Business Risk Assessment, Money Laundering Prevention Handbook and other relevant policies, procedures, and guidance notes. Conduct AML/CFT and financial crime-related training for the Partnership and employees.
• Undertake enhanced customer due diligence, including providing support and guidance to business on client onboarding.
• Undertake compliance reviews, transaction monitoring, investigations and manage potential fraud cases and suspicious transactions. This includes escalation to the regulators where appropriate.
• Ensure appropriate management information is available to facilitate the ongoing assessment of the effectiveness of compliance controls and procedures.
• Managing all other AML/CFT and financial crime-related areas and supporting the firm’s MLRO, acting as their deputy as required.
• Maintain a strong and transparent communication channel with the regulators and relevant authorities/associations, demonstrating solid concepts of corporate governance and sound risk management practices.

Requirements of the Job

Job Knowledge

• Good understanding and working knowledge of AML/CFT and financial crime-related regulatory requirements.
• General knowledge of the Securities and Futures Act, Financial Advisers Act, Personal Data Protection Act and the subsidiary legislation, as well as any other requirements.
• Experience of interacting with the local regulators, auditors, authorities/associations or similar.
• Experience in auditing or compliance monitoring/reviews.

SJP Business Expertise

• Proven experience in the capacity of a compliance officer or similar role.
• Proven experience in developing and implementing policies, procedures, and controls and conducting compliance reviews.

Problem Solving

• Strong analytical and critical thinking skills
• Capable of balancing compliance risk and commerciality.
• Attention to detail.

Nature and Scope of Impact

• To promote a compliance culture across the senior management team, back-office teams and the Partnership in Singapore.

Interpersonal Skills

• Flexible and open to change; adapts behaviour and work methods accordingly.
• Confident, influential and ability to develop strong working relationships at all levels.
• Confident about taking decisions and giving advice independently.
• Good verbal and written communication skills.
• A capable team player who is self-motivated.

Special Requirements

• Degree holder with 2-4 years of working experience in a compliance, legal or audit function within the wealth management industry.
• Relevant compliance qualifications/certifications such as a Diploma in AML/CFT / ACAMS and/or Governance, Risk & Compliance an added advantage.

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