Compliance Manager

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Legal & Compliance Recruiter for Financial Services (Banking, Capital Markets & Fintech - Payments/ Digital Assets) at Randstad Singapore

about the company
Our client is a Wealth Management Firm seeking a highly motivated and experienced Compliance Manager to lead and be responsible for a strong regulatory framework as well as ensure adherence to the highest industry standards.
about the job

• Act as the liaison officer with the Monetary Authority of Singapore (MAS) and all relevant authorities
• Monitor, interpret, and communicate new and updated regulatory requirements and assess their impact on the firm's operations and products. Keep management abreast of any material impacts
• Provide practical AML and compliance advice and guidance to all business units
• Carry out AML assessments, including client onboarding reviews, transaction monitoring, and investigations where necessary
• Review and update internal compliance policies, procedures, and manuals to ensure they are robust
• Review and approve marketing materials, client communications, and product documentation to ensure compliance and fair dealing
• Implement, and execute a comprehensive compliance monitoring program to identify and mitigate potential compliance risks
• Prepare and submit all required regulatory reports and filings accurately and on time
• Coordinate and support audits, regulatory inspections, and ad-hoc inquiries, ensuring timely and accurate responses
• Develop and deliver compliance training programs for all staff
  

about the company
Our client is a Wealth Management Firm seeking a highly motivated and experienced Compliance Manager to lead and be responsible for a strong regulatory framework as well as ensure adherence to the highest industry standards.
about the job

• Act as the liaison officer with the Monetary Authority of Singapore (MAS) and all relevant authorities
• Monitor, interpret, and communicate new and updated regulatory requirements and assess their impact on the firm's operations and products. Keep management abreast of any material impacts
• Provide practical AML and compliance advice and guidance to all business units
• Carry out AML assessments, including client onboarding reviews, transaction monitoring, and investigations where necessary
• Review and update internal compliance policies, procedures, and manuals to ensure they are robust
• Review and approve marketing materials, client communications, and product documentation to ensure compliance and fair dealing
• Implement, and execute a comprehensive compliance monitoring program to identify and mitigate potential compliance risks
• Prepare and submit all required regulatory reports and filings accurately and on time
• Coordinate and support audits, regulatory inspections, and ad-hoc inquiries, ensuring timely and accurate responses
• Develop and deliver compliance training programs for all staff
  

skills and experience required

• Bachelor's degree from a reputable institution
• Minimum 8-10 years of relevant compliance experience from a Financial Institution, preferably with experience in wealth management, private banking or asset management
• Well versed in Securities and Futures Act (SFA) and Financial Advisers Act (FAA)
• High level of integrity, professionalism, and ethical conduct

To apply online please use the 'apply' function, alternatively you may contact at .
(EA: 94C3609/ )
Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Accounting/Auditing, Finance, and Other
• Industries Banking, Capital Markets, and Financial Services

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