What You’ll Be Doing

• Lead and oversee all aspects of daily compliance operations related to our AML/CFT and Sanctions compliance program.
• Develop and implement strategic initiatives to enhance operational processes and systems, ensuring alignment with policies and procedures, regulatory standards, and industry best practices.
• Provide leadership and guidance to the compliance operations team, fostering a culture of excellence, collaboration, and continuous improvement.
• Collaborate closely with cross-functional teams, including Product and Engineering, to drive operational efficiency and effectiveness.
• Assess market opportunities and resource requirements to scale the compliance operational capacity globally.
• Ensure timely and accurate reporting to senior management on operational metrics.

What We Look For In You

• Bachelor's degree in Business, Finance, Law, or related field.
• Extensive experience in compliance operations, preferably in the crypto or fintech industry.
• Proven track record of leadership and management, with experience leading large operational teams in a global environment.
• Strong understanding of regulatory requirements and compliance best practices in the cryptocurrency space.
• Excellent communication and interpersonal skills.
• Ability to thrive in a dynamic and fast-paced environment, with a strong sense of urgency and accountability.

Nice-To-Haves

• Familiarity with compliance vendors, tooling, systems in the crypto industry, e.g., Chainalysis.
• Experience with establishing operational hubs.

Perks & Benefits

• Competitive total compensation package
• L&D programs and Education subsidy for employees' growth and development
• Various team building programs and company events
• Wellness and meal allowances
• Comprehensive healthcare schemes for employees and dependants
• More that we love to tell you along the process!

1. Provide support to the Branch’s day-to-day AML/CFT operations, including real-time and post transaction monitoring, batch screening reviews, onboarding and periodic review of high-risk customers, STR filing, reviewing changes in customer risk profile, and maintaining system integrity of the AML System.

This involves analysing alerts generated by the AML system to determine appropriate disposition or escalation, understanding ML/TF typologies to actively identify suspicious transactions for STR filing, assessing associated risks and providing recommendations to the management regarding the onboarding and continuation of relationships with higher risk customers, and coordinating with vendors as well as the relevant IT officers at the Head Office

2. Contribute to AML/CFT related projects, compliance testing, Head Office reporting, surveys, and policies and procedures reviews and updates.

This entails staying informed about changes in the AML/CFT landscape in Singapore, updating the Head Office on these changes and their impact on the Singapore Branch, reviewing and updating the relevant AML/CFT Policies and Procedures on an ongoing basis, independently managing the EWRA process including collection data, and recommending enhancements to improve methodologies, such as customer risk model and TM scenarios and parameters, and participating in AML/CFT related surveys and RFIs.

3. Assist in ensuring the business operations comply with the new and updated requirements of the Monetary Authority of Singapore (e.g. Notices, Guidelines, Information Paper, Circulars, etc.).

This involves conducting gap analysis against existing internal controls, developing action plans, engaging in discussions with various stakeholders, driving the implementation of gaps within the timeline and updating management on the implementation progress.

4. Handle and/or advise internal (e.g. Head Office, Business Department) and external (e.g. external auditors) stakeholders on AML/CFT related enquiries and conduct AML/CFT trainings.

This requires familiarization with AML/CFT laws and regulations and internal rules, preparation of training materials and sharing of the new processes and measures with the relevant departments.

5. Provide support to the Risk & Compliance Department on any other regulatory compliance matters (i.e. non-AML/CFT matters) and participation in special or ad-hoc projects as required.

Job Scope

• Review and investigate alerts generated by the market surveillance systems.
• Provide support for the compliance function.
• Assist in the regulatory reporting, compliance risk assessment, compliance work plan to facilitate compliance with relevant legal and regulatory obligations.
• Escalate any potential irregularities to the head of regulations and compliance.
• Liaise with internal stakeholders and external parties.
• Perform other duties assigned by the head of regulations and compliance.

Job Requirements

• Degree in Business, Finance, Computer Science, IT or equivalent.
• 3 to 5 years of relevant experience in a capital market services intermediary (including a brokerage or an exchange) or a financial services regulatory authority.
• Understanding of trading on an exchange/organised market will be an asset.
• Ability to multitask and keen to learn, take initiative and go beyond the scope of work.

We respect your privacy and all communication will be treated with confidentiality. If you wish to know more about this position or explore other roles, please prepare your updated profile and get in touch with [email protected] | Personnel Reg No.: R1105160 | EA License: 02C3423

Please note that your response to this advertisement and communications with us pursuant to this advertisement will constitute informed consent to the collection, use and/or disclosure of personal data by Manpower for the purpose of carrying out its business, in compliance with the relevant provisions of the Personal Data Protection Act 2012. To learn more about ManpowerGroup's Global Privacy Policy, please visit https://www.manpower.com.sg/privacy-policy

Our client is hiring a 5-8 PQE Legal and Compliance Counsel. Qualified lawyers with prior healthcare/pharma compliance experience are a must have. Candidates must be familiar with HCP agreements, calculating fair market value, and the criteria to select HCPs etc.

Daily legal responsibilities include the drafting, negotiation, and finalization of strategic contracts, distribution agreements, supply agreements, license agreements, and service agreements.

Please contact Benedict Joseph at JLegal in Singapore on +65 6632 3636 or submit your resume to [email protected] quoting Ref no: JGB – IS – 1889.

JLegal Pte Ltd Employment Agency Licence No: 16S8076

Benedict Joseph, EA Registration No: R1324716

Only shortlisted candidates will be responded to, therefore if you do not receive a response within 14 days, please accept this as notification that you have not been shortlisted.

1. Job Functions:

Legal Responsibilities:

• Scrutinize legal documents such as funding agreements, contracts, MOUs, and any other relevant legal instruments to identify key points, risks, and adverse clauses that may impact PERTAPIS. Submit reviewed documents to the Head of Department for verification.
• Inform the management of significant clauses, obligations, and conditions within legal documents that require attention or action.
• Identify and communicate any potential legal risks or adverse impacts from contractual agreements or legal documents.
• Draft, review, and manage company policies, SOPs, and other governance documents to ensure compliance with applicable laws and regulations.
• Ensure all legal and compliance policies adhere to Singapore's regulatory requirements for NGOs and other relevant laws.
• Provide support in legal disputes or litigation, including coordinating with external legal counsel, if necessary.
• Conduct legal research and stay updated on relevant laws, regulations, and industry practices to provide informed advice to management.
• Serve as an internal consultant on legal and compliance matters, providing guidance to various departments as needed.

Compliance Responsibilities:

• Responsible for the review and implementation of the company's strategies and policies for all business processes in respect to the law, regulations, guidelines, audit, and compliance standards.
• Provide advice and counsel to management on business operations relating to law, regulations, compliance, policies, audits, risks, and any other relevant matters.
• Analyse internal business systems to ensure compliance with laws, regulations, industry, and ethical standards.
• Develop, document, and manage effective action plans to address audit findings and compliance violations.
• Develop and document risk management strategies on potential compliance risks.
• Evaluate company operations to identify compliance-related risks.
• Conduct investigations, interviews, and take statements for non-compliance and provide appropriate recommendations to management as per the regulatory standards.
• Conduct compliance reviews, audits, and periodical checks within the organization and all centers to ensure regulatory requirements are in accordance with the organization’s policies and procedures
• Generate compliance reports and manage the risk dashboard in a timely manner.
• Carry out proper compliance training programmes for staff awareness of laws, regulations, and policies.
• Conduct routine audits of the company's procedures, practices, and documents to identify potential vulnerabilities or risks.
• Responsible for proper records, storage, and filing of all related compliance policies, SOPs, audit findings, and violations for future reference.

2. Candidate Requirements

• Diploma/Degree in Business, Legal studies or Law
• Preferably 2 years prior experience in risk management, compliance or audit roles.
• Those without experience but willing to learn are welcome to apply.
• Must have, or be willing to obtain, a compliance certification.
• Attention to detail in order to identify and correct risky practices.
• Strong communicator and capable of expressing oneself clearly both speaking and in writing.
• Possess a collaborative personality and be open to suggestions from team members.
• Good knowledge of industry protocols and best practices.
• Good time management and organisational skills and able to meet deadlines.
• Should have a strong moral code and sense of ethics.

3. Working Hours

5 days work week

Monday to Friday - 9am to 6pm

4. Work Location

1 Joo Chiat Complex

***Disclamer: Only shortlisted candidates will be contacted.

Responsibilities:

Products Knowledge and Hands-on Experience

• 3 years direct fund house compliance experience
• Working knowledge of equities and fixed income funds
• Familiar and working experience with UCITS, CPFIS rules
• Experience in setting compliance rules in Portfolio Management System

Secretary of:

• Board Meeting
• Risk Management Committee Meeting

Regulatory, Reporting, Surveys/Questionnaires:

• MAS, MoM Survey / Questionnaires, etc.
• Acting as LO and in change of regulatory and ad-hoc MAS reporting e.g. Form 11
• Fund registration/renewal with Opera and other jurisdictions
• Responding to Queries of Regulators
• Internal Reporting, e.g. monthly report to Board of Directors

Handling of Yearly Audits

• Statutory Audit
• Internal Audit
• ISAE3402 Audit

Monitoring Conflicts of Interest

• Directors’ Business Interest
• Periodic Disclosure to Investors
• Staff Personal Dealing/Declaration

Yearly Routines

• Outsourcing review
• BCP Testing
• Licensing Conditions Review
• Compliance Fit and Proper requirements
• Enterprise-Wide Risk Assessment
• · Updating Risk and Compliance Manuals
• · Identifying Critical IT systems

Onboarding and Periodic Reviews

• Brokers
• Introducers
• Clients

Upkeeping Registers

• Representatives
• Distributors/Introducers
• Outsourcing
• Gifts and Entertainment
• Complaints
• Errors/Exceptions
• Continuing Education
• Suspicious Transaction Reports

Requirements:

• Bachelors/Master’s degree
• 2-4 years’ experience working in a licensed/regulated business
• Past compliance experience is a plus
• Responsible, independent, extremely diligent and detailed
• High stress tolerance

Responsibilities:

• Deliver responses to information security-related inquiries for regulatory exams, audits, and compliance engagements.
• Obtain senior management approval for all regulatory responses.
• Provide consultation on alerts and advisories issued by regional regulators.
• Identify, onboard, and submit NFRR change requests related to information security.
• Support escalation of potentially regulatory-reportable cyber incidents.
• Drive Regulatory Exam Management team initiatives aligned with annual strategy.
• Maintain up-to-date, effective, and efficient processes and playbooks.
• Collaborate effectively with internal stakeholders and influence decisions.

Skills and Experience:

• 5-7 years of experience in cybersecurity, risk management, or regulatory compliance.
• CISSP, CRISC, or CISM certifications preferred but not mandatory.
• Bachelor’s degree in Information Technology or a related field.
• Strong operational mindset and attention to detail.
• Excellent analytical and problem-solving skills.
• Proficient in presenting to senior management.
• Solid understanding of information security principles and controls.
• Familiarity with APAC laws and regulations impacting information security.

Ikas International (Asia) Pte Ltd

“Sanderson-iKas” is the brand name for iKas International (Asia) Pte Ltd

EA Licence No: 16S8086 | EA Registration No. R1988468

We regret to inform you that only shortlisted candidates will be notified /contacted.

Role: Head of Compliance

Base Location: Singapore

We're seeking a Head of Compliance to drive the growth of our Asia-Pacific footprint. Based in Singapore, you will lead a team of regulatory compliance managers across our licensed entities in Singapore, Hong Kong, and Indonesia. Your mission will be to establish a strong foundation and consistent framework that enables Transwap to proactively manage regulatory risks. Key responsibilities include:

- Strengthening and embedding a consistent approach to identifying, managing, and reporting regulatory risks;

- Promoting regulatory best practices within our global compliance program;

- Ensuring clarity and transparency regarding the regulatory basis of our global product offerings, both internally and externally;

- Enhancing global regulatory processes to drive better customer outcomes, improve compliance, and increase operational efficiency;

- Supporting the delivery of the regulatory compliance program across our licensed entities.

In this role, you will be responsible for:

- Providing clear, risk-based regulatory advice to regional compliance teams and business stakeholders across functions such as Operations, Legal, Finance, and Sales;

- Ensuring that the Global Compliance Policy framework aligns with Transwap’s global business needs and is thoroughly tested and owned;

- Leading enhancements to regulatory compliance operations and processes at a global level;

- Overseeing regulatory risk in line with Transwap’s Global Expansion strategy;

- Developing and refining Transwap’s Regulatory Engagement strategy in collaboration with Regional Compliance Leadership and Government Relations teams;

- Reporting to senior management on regulatory risks.

Ideal candidates should be:

- Experts in financial regulatory and compliance issues, with relevant qualifications;

- Experience working in FinTech industry is highly preferred

- Experienced in a senior role or within a Compliance/Legal team, having regularly interacted with regulators, especially Monetary Authority of Singapore;

- Problem-solvers with a strong sense of urgency, able to perform under pressure, prioritize effectively, and meet tight deadlines;

- Strong relationship-builders, comfortable engaging with stakeholders at all levels both internally and externally;

- Eager to contribute to a fast-growing scale-up and make a significant impact.

Job Summary：We are seeking an experienced Internal Control & Compliance Executive to oversee and enhance our internal control systems and compliance frameworks. This role is critical in ensuring that our operations adhere to legal regulations and internal policies, thereby mitigating risks and safeguarding the organization’s integrity.

Key Responsibilities:

- Establish company’s compliance management system to integrate the company’s overall risk management, internal control and compliance. Develop, implement, and maintain internal control and compliance policies and procedures to ensure compliance with regulations and industry standards. Organize informationization construction of internal control and compliance management.

-Develop and execute annual plan for internal control and compliance management, including relevant work and training.

-Conduct continuous internal control and compliance reviews in economic contracts and major decision, and provide comments on compliance issue and recommend resolution.

- Coordinate, guide and assist in lawsuit and arbitration involving Singapore companies, overseas subsidiaries and representative offices.

- Prepare monthly/quarterly/yearly internal control and compliance reports to the management and HQ. Maintain focus on the compliance management requirements in key areas including but not limited to anti-commercial bribery, anti-money laundering, international sanctions, export control, anti-monopoly, anti-unfair competition, intellectual property and data information. Stay up-to-date with changes in laws and regulations that may impact the organization.

- Conduct risk identification, assessments, precaution in accordance with relevant law, policies, guidelines of company and its HQ.

- Drive the compliance providing support to the management in order to ensure the adequacy, efficiency and effectiveness of the internal control. Recommend improvements to maximize business operations.

- Develop and maintain a strong connection with risk control, internal control, compliance experts in the oil & gas industrial, lubricant field and cooperate with relevant state and government requirements on the above-mentioned areas.

Qualifications：

- Bachelor’s degree in Finance, Accounting, Statistics, Business Administration, or a related field; a master’s degree or professional certification is preferred.

- Minimum of 3 years of experience in internal control, compliance, audit roles, contract review and management, procurement and bidding or legal. Relevant experience in oil & gas industrial or lubricant field is preferred.

- Knowledge of laws, regulations in relation to the oil & gas industrial, lubricant field. Better understanding and utilization of internal control management system (e.g., COSO, ISO).

- Excellent analytical and problem-solving skills.

- Excellent communication and interpersonal skills, with the ability to influence and collaborate effectively across all levels of the organization. Bilingual proficiency is must, as the role requires communication with Chinese clients and headquarters.

- Strong written skill and can manage various work reports.

- Proficiency in using internal control, compliance management relevant software and tools (ERP, contract management etc.)

Job Responsibilities:

• Establish XDC Singapore site quality system, ensure it complies with FDA, EMA and PICs GMP requirement;
• Continue monitor and improve site quality performance, ensure quality system being healthy running
• Ensuring appropriate training is delivered to all personnel involved in GMP activities
• Responsible for monitoring and assessing the changes of applicable regulations, ensuring the continuous compliance
• Facilitating regular management reviews of process performance, product quality and of the Pharmaceutical Quality System and advocating continual improvement;
• Ensuring that a timely and effective communication and escalation process exists to raise quality issues to the appropriate levels of management.
• Be responsible for documentation lifecycle management
• Be responsible for regularly reviewing and assessing the quality metrics
• Be responsible for establish Quality Risk Management Plan, ensure implementation per schedule and follow up mitigations (if any) till completion
• Be responsible for product complaints handling
• Be responsible for product recall if any
• Ensuring internal audit program is implemented at site
• Responsible for managing external inspection, e.g., client audit, regulatory inspection etc.
• Other tasks assigned by the supervisor.

Requirements:

• Bachelor degree or above, majoring in Biologics, Pharmacy, Pharmaceutical Engineering, Bioengineering or other relevant majors
• 10+ years’ working experience in production and/or quality management in biopharma, with 8+ years in production QA or quality system QA.
• 5+ years’ experience in team management
• Be familiar with FDA, EMEA, PICS GMP requirement
• Experience with quality system set up for new site is preferred
• Experience with Biopharma commercial quality system is preferred
• Familiar with quality management requirement throughout the whole product lifecycle, including process development, clinical and commercialization.

Kai Global Consulting is a one stop, end-to-end consulting and services provider, specialising in the alternative investment industry. The company is headquartered in Singapore and offers scope of services from back to middle office.

Kai Global Consulting seeks to add a motivated and disciplined member to represent the Company as the point of contact to lead, provide consultation support and advise to its existing and prospective Clients.

Responsibilities

Regulatory Compliance -

• Subject expert on key applicable regulations such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, AML/CFT regulations
• Provide regulatory/compliance advisory support to customers
• Organize and conduct staff compliance trainings
• Identify global regulatory trends and developments that may impact business areas and advise on any material impacts to current activities
• Act as a liaison officer with the Monetary Authority of Singapore (MAS) for customers
• Managing regulatory and internal reporting and assist with all regulatory submissions, surveys and questionnaires

Anti-Money Laundering and Combating the Financing of Terrorism and Proliferation of Financing-

• Identify and verify customer identities, ownership structures, adverse news searches during onboarding stage and on a continuing basis
• Perform risk assessment for new customers during on-boarding with documentation
• Perform AML/KYC screening and customer due diligence procedures based on identified risk rating
• Conduct ongoing transaction monitoring
• Work closely with other departments to ensure smooth onboarding and ongoing assessment of investors

Compliance Manual-

• Develop policies and procedures to ensure compliance with MAS Capital Market Service (CMS) license requirements
• Assist customers in the implementation and maintenance of the adopted compliance and risk management (“EWRA”) policies and procedures
• Update and inform customers on latest AML, CDD, and KYC regulations to ensure compliance with local and international standards
• Review, revise and uplift all compliance manuals and policies and procedures, including risk management policies and procedures.

AEOI-

• Compile, record, scan and check for completeness of documents received.
• Prepare and submit annual FATCA/CRS filing to applicable authorities in accordance with company procedures.

Others -

• Provide support and guidance to new and junior members
• Support the compliance team with any ad-hoc tasks or projects from time-to-time.

Job Description:

• Responsible for performing accurate and timely name screening review for incoming and outgoing remittances on domestic and cross-border transactions, fund transfers, GIRO, FAST and other related businesses across the bank.
• Responsible for reviewing transaction related documents and submission of advisory or suspicious transaction reports to the Legal & Compliance Department if deemed necessary.
• Responsible for incorporating the Anti-Money Laundering related policies of MAS, ABS and other regulatory agencies and the bank's head office into our AML name screening policy (based on the relevant business scope handled by the team). Responsible for the centralized Anti-Money Laundering management of the department and taking the lead in formulating AML related SOPs.
• Responsible for organizing training and guidance on Anti-Money Laundering operations, strengthening departmental Anti-Money Laundering compliance capabilities.
• Responsible for the submission of Anti-Money Laundering business data and management reports.
• This position entails dual-line reporting to the Legal & Compliance Department and the Operations Department, and is responsible for reporting and coordinating Anti-Money Laundering related business to the Legal & Compliance Department.
• To assist the team leader to achieve AML related KPI indicators and complete tasking assigned by the team leader.

Requirements:

• Diploma or above.
• Approximately 3-5 years of working experience in the banking industry, preferably those with past relevant experience.
• Familiar with cross-border and local Anti-Money Laundering requirements.
• Meticulous and rigorous, able to withstand a certain amount of work pressure and stress.
• Applicants who have obtained relevant certificates or professional qualifications in Anti-Money Laundering or compliance-related industries will be given priority.
• Familiar with office software applications such as Excel and Word.
• Effectively bilingual in English and Chinese so as to communicate effectively with our Head Office and external vendors.
• Able to provide after working hours and holiday support (on rotational basis).

Our client is an well-known leader in the Fund Management space. They are currently looking for a Compliance Executive to be based in Singapore.

The Role

• The role is responsible for implementation of Compliance and AML/CFT program and managing the full range of matters related to compliance, governance, AML/CFT, compliance risk assessment, STR related investigations and compliance/AMLCFT training.
• The compliance Officer reports to the Head of Compliance on on-going compliance status and on any findings of infringements and its recommended actions.
• The Compliance Officer provides regulatory advisory relating to all guidelines to all compliance related enquiries form business units/ member offices.
• Compliance Officer acts as Money Laundering Reporting Officer (MLRO) to submit Suspicious Transaction Report (STR)

To Qualify

• Degree in law, business, finance or compliance related disciplines
• Minimum 2 - 4 years of relevant experience within the Management Advisory/ Financial Services/ Investment industries
• Experience in a compliance function, preferably gained from accounting, corporate secretarial, management services, banking/ financial services and shared services firms
• Extensive regulatory knowledge (AML/CFT, CRS, PDPA, KYC guidelines, etc.)
• Experience in background check such as AML/CFT screening, KYC/CDD, applications
• Experience in performing Risk Assessment
• Good interpersonal, influencing and networking skills
• Ability to work independently as well as good team player
• Knowledge of Microsoft Office such as Excel, Word and PowerPoint
• Ability to multi-task and stay focused on the big picture while addressing daily issues
• Ability to identify problems and issues and apply problem solving skills to provide solutions
• Ability to prioritize work and meet deadlines

To Apply

If you feel your experience and professionalism can make an impact with this firm, please submit your details resume to [email protected] / 6645 4540.

Personal data provided by job applicants will be used strictly in accordance with the employer's personal data policies, a copy of which will be provided.

*Only shortlisted candidate will be notified.

Registration No. R1658237 | EA License No. 11C3510 | Drake International

You may also register at our company website https://sgjobs.drakeintl.com/jobs/

Or like us on Facebook www.facebook.com/drakesgtemp/ for more job opportunity!!!

Join a global network that understands what businesses need to have access, visibility and control. Our market-leading approach combines extensive local compliance and accounting experience with a standard global compliance process and web-based tools to help you execute your job.

The opportunity

In one country or many, you have the opportunity to provide clients an integrated, consistent, quality service that unlocks the potential of the compliance function, with tax compliance, statutory accounts preparation and tax accounting calculation support.

With so many offerings, you have the opportunity to develop your career through a broad scope of engagements, mentoring and formal learning. That’s how we develop outstanding leaders who team to deliver on our promises to all of our stakeholders, and in so doing, play a critical role in building a better working world for our people, for our clients and for our communities. Sound interesting? Well this is just the beginning. Because your professional development is important to us and we are fully committed to helping you realise your potential.

Your key responsibilities

You’ll spend your time supporting client engagements by coordinating with clients and internal team members, managing deadlines, and tracking engagement economics. You’ll also be tasked with identifying and resolving technical issues, as well as sharing insights that will improve our processes and overall efficiency.

Skills and attributes for success

• Ensuring integrity of financial statements for both US and Local GAAPs accounting and reporting
• Performing analysis of legal entity results; preparing general ledger (G/L) account reconciliations and legal entity administration
• Maintaining accounting records under both US and local GAAPs and preparing financial statements based on country requirements
• Maintaining effective procedures of risk identification. Ensure appropriate risk mitigation and remediation of control gaps.
• Supporting engagement with Internal Control &Compliance team to educate the country team on compliance matters and ensure a culture of compliance.
• Ensuring adherence to accounting policies and schedules

To qualify for the role you must have

• A diploma / degree in economics, finance, tax or accounting; a CPA or similar certification
• At least 3 years for Consultant of relevant experience
• Familiarity with US and international accounting standards
• Good verbal / written communication skills
• Strong organizational, project management and analytical skills
• Strong drive to excel professionally, and to guide and motivate others
• Coordination and prioritisation, resourceful
• Independent in managing own workload, ability to work under pressure and to keep things moving and to juggle multiple tasks
• Excellent team player

Ideally, you’ll also have

• Experience working in multicultural teams
• Experience and knowledge of tax compliance, financial reporting and ERP systems such as SAP

What we look for

Highly motivated individuals with excellent problem-solving skills and the ability to prioritize shifting workloads in a rapidly changing industry. An effective communicator, you’ll be a confident team player that collaborates with people from various teams while looking to develop your career in a dynamic organization.

What we offer

EY offers a competitive remuneration package where you’ll be rewarded for your individual and team performance. We are committed to being an inclusive employer and are happy to consider flexible working arrangements. Plus, we offer:

• Continuous learning: You’ll develop the mindset and skills to navigate whatever comes next.
• Success as defined by you: We’ll provide the tools and flexibility, so you can make a meaningful impact, your way.
• Transformative leadership: We’ll give you the insights, coaching and confidence to be the leader the world needs.
• Diverse and inclusive culture: You’ll be embraced for who you are and empowered to use your voice to help others find theirs.

If you can demonstrate that you meet the criteria above, please contact us as soon as possible.

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Global Financial Crimes (GFC)

Coordinates day-to-day implementation of the Firm's enterprise-wide financial crime prevention efforts. GFC has responsibility for governance, oversight and execution of the Firm's Anti-Money Laundering (AML), Sanctions, Anti-Corruption, Anti-Tax Evasion, and Government and Political Activities Compliance programs.

Primary Responsibilities

The Sanctions Compliance Officer (SCO) will be responsible for providing economic sanctions related business and programmatic advice in support of the Morgan Stanley Global Sanctions Program, including oversight of APAC based businesses.

The SCO will be part of a team of financial crimes specialists collectively responsible for compliance and regulatory matters pertaining to economic sanctions programs adhered to under the Firm's Global Sanctions Policy, including the U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC), His Majesty's Treasury of the United Kingdom's Office of Financial Sanctions Implementation (OFSI), the United Nations Security Council (UNSC), and the Council of the European Union (EU Council), as well as regional regulatory authorities including but not limited to, Hong Kong, Japan, Singapore, China, Australia, Taiwan, India, Indonesia, and South Korea.

Specific job responsibilities include:
> Assist in the ongoing development, administration, and implementation of the Firm's economic sanctions compliance programme, including assisting with the ongoing iterative uplift of program specific control frameworks
> Address sanctions related queries from first line risk, business and operations groups with respect to sanctioned products and related risks, including CMIC related inquiries and sanctioned product queries from regional business and risk groups
> Work with GFC business advisory and legal teams to provide written and verbal communication on sanctions-related issues to the lines of business; performing and reviewing highly sensitive client and transaction search information; reporting, escalating and documenting results
> Maintain awareness of regulatory changes related to economic sanctions, ensuring proper communication and timely implementation of new procedures and/or enhanced due diligence programmes in compliance with any change in laws and regulations
> Provide periodic review and maintenance recommendations for APAC specific sanctions control environments in conjunction with first-line business risk groups
> Develop, recommend, and implement risk-based processes and controls to ensure business unit compliance with economic sanction, especially emerging regimes and programmes
> Develop content for and deliver specialized training to relevant internal audiences concerning economic sanctions for both in-person and Firm-wide online training modules
> Coordinate with the Risk Assessment team on the yearly economic sanctions Risk Assessment
> Review and investigate escalated payments and/or transactions identified for potential matches to sanctions lists; ensure prompt handling and response
> Conduct ad hoc due diligence projects arising from the administration of the economic sanctions program
> Assist with responding to regulatory exams, inquiries and audits

Qualifications

> Strong academic credentials.
> Minimum of 5 years of relevant experience in Financial Crimes Compliance or related functions, preferably at a large/complex financial institution, law firm, or government/regulatory body.
> Detailed understanding of the laws, rules, regulations and industry best practice pertaining to economic sanctions, in particular the sanctions programs administered and enforced across US, UK, EU and APAC jurisdictions.
> Ability to understand and assess a wide variety of complex commercial transactions.
> Highly-motivated self-starter able to work independently while collaborating as part of a global program.
> Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment.
> Strong written and verbal communications skills, attention to detail, and effective time management.
> Sound judgment and an ability to appropriately escalate issues internally.
> Strong interpersonal skills and team-player attitude.
> Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license - or certification within first 15 months of employment.

Skills desired

> Strong understanding of financial markets and banking transactions.
> Strong project management skills.
> Experience in configuration of client and transactional screening technologies and management of alert disposition processes.

Job Description

As a Compliance Specialist, you will play a critical role in ensuring that the organization complies with Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) regulations. Your expertise will support the institution’s efforts to detect and prevent financial crimes and uphold the organization's integrity.

• Customer Due Diligence (CDD) / Know Your Employee (KYE) : Oversee and perform CDD/EDD/KYE reviews, ensuring that all customer information is accurate, complete and compliant with the bank’s internal policies and procedures
• Document Review: Collaborating with front and back offices on FATCA/CRS and AML/KYC documentary requirements
• Advisory Support: Handle escalations from the first line of defence on financial crime compliance matters
• Transaction Monitoring and Name List Screening: Review and analyse transaction monitoring and name list screening alerts, identify suspicious activities, and escalate issues as needed
• Investigation and Reporting: Investigate unusual and/or potentially suspicious transactions, preparing and filing of reports such as STRs and internal reports for submission to Global Financial Crime Compliance team
• Training: Support the MLRO with conducting training sessions on AML/CFT, sanctions, CDD, and related topics.
• Internal Collaboration: Work closely with front line teams to ensure compliance with AML/KYC requirements and provide guidance on adherence to the bank’s policies & procedures and regulatory expectations
• Policy Update and Implementation: Assist in developing, updating and implementing AML/CFT policies, procedures and controls
• Documentation and Record Keeping: Maintain comprehensive records of AML/CFT activities and ensure documentation is readily accessible for audits and reviews
• Additional Duties: Perform other compliance-related tasks as assigned by management.

Requirements

• Educational Background: A degree in Finance, Business, Computer Science, or a related field.
• Professional Experience: At least 2 years of experience in AML/CFT within a financial institution.
• Regulatory Knowledge: Familiarity with MAS regulations and industry best practices.
• Technical Skills:

- Proficient in Microsoft Word and Excel.

- Proficiency in using FAML software and tools for transaction monitoring and transaction screening

• Personal Attributes:

- Keen interest in compliance with a long-term commitment to the field.

- Self-motivated, resourceful, and eager to learn.

- Strong attention to detail and ability to manage multiple tasks.

Additional Information

• Employment Type: Permanent, 5-day work week.
• Compensation: Candidates must include their current and expected monthly salary in their application.

Job Summary

The Security Architecture and Solutioning role provides the architecture and solution in the development and implementation of cybersecurity strategies. He/she will be involved in creating clear and engaging architecture planning, strategizing, implementation and coordinate the acquisition, implementation and building of cybersecurity system/tool; assisting in the execution of security system and ensure smooth transition of the system to Security Operation team.

The role is required to collaborate with internal and external stakeholders (Technology Office, Enterprise Risk, Strategy & Transformation, the authorities) to effectively achieve the desire result.

The role must be instrumental in assisting other technology projects to meet regulation and responsible to authorities’ enquiries.

He/she has passion for cybersecurity, with a strong desire to learn and grow in a dynamic environment.

The personnel have exceptional cybersecurity and communication skills, a general understanding of cybersecurity principles, and the ability to translate complex technical concepts into clear and concise messages for all relevant stakeholders.

Job Responsibilities/Key Tasks

Cybersecurity Architecture and Solution

· Design, review and plan for security solution in the space of technology and follow up with respective end users and IT personnel to bring them to logical closure.

· Track and monitoring the setting up of security solution and follow-up and remediation wherever necessary.

· Ensure solutions are within the allocated budget and cost effectively managed and implemented.

· Ensure appropriate technology strategies are planned and managed to ensure effectiveness of security controls and recommend control improvement to increase effectiveness.

· Lead improvement on sustainable cyber security controls in system, in compliance to security regulations and frameworks, including leading annual security tests on production systems.

· Understand evolving threats by learning from Cyber security industry & regulatory body. Plan for implementation within the organisation.

Cybersecurity Advisory and assessment

· Support technology project and assist in advisory to the project teams, ensuring compliance to the relevant requirements.

· Support Technology project team in meeting stringent cybersecurity requirement which may be imposed upon by the customers and ensure all information are provided in good factuality and accuracy.

· Assess and evaluate of policy deviations and review deviations before recommending for approval; ensure that the justification for policy deviations is assessed and risk minimised.

CyberSecurity Risk management

· Assess the cyber security risk of third-party vendors with an appropriate level of detail; Identify controls to address gaps in third party vendor relationships; Monitor the implementation of controls

· Act as the application security gatekeeper for the development of application.

· Liaise with the application project team on Penetration test findings closure and improvement; track finding and ensure timeliness closure.

Professional Qualifications & Relevant Experience

· Bachelor Degree in Cybersecurity, Risk or related field

· 8 to 10 years of relevant experience in cybersecurity / architect roles

· Proficient in MS Office Applications / Microsoft Power Platform Applications and social media platforms

· Positive attitude and willingness to learn

· Strong written and verbal communication skills

· Basic understanding of cybersecurity principles and best practices

· Ability to explain technical concepts to non-technical audiences

· Strong attention to detail and a commitment to maintaining accuracy and consistency in all communications.

· Self-motivated and proactive, with a demonstrated ability to work independently and take ownership of assigned tasks.

· Ability to manage multiple tasks simultaneously and carry out tasks which are assigned by the Management.

To ensure the Bank adheres to the compliance and regulatory requirements.

To provide regular dissemination and internal reporting of new regulations.

To provide for management of AML/CFT risks in the bank and participates in the prevention of financial crimes

Financial Crimes Compliance Standards

• To develop a robust Financial Crimes Compliance (“FCC”) function in HL Bank in line with the Hong Leong Bank Berhad and HL Bank AML/CFT Management Policy and applicable laws and regulations
• To develop in co-ordination with other members of senior management an appropriate and integrated framework of FCC policies, procedures and standards, to manage the Bank’s AML risk
• To promote a HL Bank culture of compliance centred on awareness and understanding of FCC risks and responsibilities consistent with expectations of the Board and regulatory authorities
• To develop in co-ordination with HL Bank Compliance, FCC orientation and training programs for Senior Management level staff
• To develop and maintain professional and wholistic regulatory relationships with regulatory authorities with jurisdiction over HL Bank in Singapore which ensures, amongst others, the appropriate level of regulatory supervision and engagement
• To provide branchwide support on regulatory consultations, interpretation of relevant laws and regulations, horizon risk
• To assist and support HL Bank Compliance in enhancing and standardising FCC and Risk Assessment Methodologies and Management Information, facilitating the Senior Management in establishing FCC Risk Appetite, decision making, oversight and management of FCC Risks
• Support HL Bank Compliance in collaborating with relevant businesses on financial crime issues across client segments and client coverage models
• To ensure and maintain FCC independence and objectivity.

Regulatory Compliance & internal Reporting

• Perform tracking and recording of new regulations / regulatory updates / consultation papers daily.
• Identify new and revised local and BNM regulatory requirements and assess their applicability to HLBS and Head Office (“HO”).
• Communicate relevant new and updated regulatory requirements to impacted departments on a timely basis.
• Communicate relevant consultation papers to impacted departments, and consolidate feedback for submission to MAS.
• Disseminate weekly regulatory updates to the branch.
• Develop monthly Regulatory Reports for Head Office and Head of Departments (“HOD”) on a timely and accurate basis. This includes the HOD deck, Risk and Compliance Governance Committee (“RCGC”) deck, IBRMC deck, Head Office Regulatory Report, and Head Office RCGC deck.
• Track and follow up on the timely implementation of new and revised relevant regulatory requirements
• Record status of implementation of applicable new regulations / regulatory updates.

Compliance Testing

• Perform independent compliance testing and verification to ensure adequate implementation of requirements and processes.

Compliance Advisory

• Assist the business and support units in identifying gaps in the bank’s processes against regulatory requirements, and develop solutions to close the gaps.

AML/CFT

• Perform ongoing AML risk monitoring including but not limited to the review, analysis and disposal of alerts in accordance with the bank's processes, as well as timely escalation of alerts along with relevant information and due diligence.
• Work with the relevant stakeholders to review and recommend segmentation, rule and scoring changes, and ensure they are tested appropriately prior to implementation
• Able to analyse the latest AML typologies and trends and ensure that the existing AML framework continues to be effective in mitigating these new risks.
• Able to provide guidance to the stakeholders on AML typologies.
• Review unusual transactions and/or activities with an analytical mind and be firm (with strong reasoning) and assertive when being challenged.
• Reporting of approved Suspicious Transactions Reports by Head of Compliance to Suspicious Transaction Reporting Office of the Commercial Affairs Department in the Singapore Police Force for the bank.
• Covering the approval for TT and also Fund Transfers of High Risk customers including large cash deposits
• Provide AML/CFT related training to HL Bank staff when arises.
• Upload entities / names from local authorities such as Commercial Affairs Department, Corrupt Practice Investigation Bureau and Singapore Police Force into Safewatch.

Risk and Compliance Self-Assessment (“RCSA”)

• Assist in the performance of RCSA Control Testing for the Compliance department.

Compliance Coordinator for the HL Bank RCGC

• Develop RCGC meeting material.

Compliance Support on Bank Initiatives

• Provide Compliance support on projects and initiatives, providing guidance from a regulatory perspective.
• Review SOPs and marketing materials to ensure that they comply with the relevant regulatory requirements.
• Review and ensure that submitted CRS forms are duly completed.

Education/ Qualification

• Relevant university degree and/or professional qualification

Experience/ Requirements

• At least 12-15 years’ experience in financial crimes compliance in the banking and finance industry
• Strong interpersonal and communication skills at all organizational levels
• Knowledge of SIRON, Safewatch and Worldcheck will be an advantage
• Persuasive, with strong reasoning skills and good stakeholder engagement
• Team player
• ACAMS Certification would be an advantage

Our client is an established corporate finance house with a long-standing reputation. An expert in the small-medium enterprise space across various disciplines – IPOs, corporate advisory for listed companies, Catalist sponsorship, underwriting and share placement, fund raising, mergers and acquisition, equity research and fund management. We are currently one of the market leaders in terms of Catalist Sponsorship clients in Singapore with clients in various industries ranging from consumer services, technology, construction, and F&B.

Key Responsibilities:

• Provide support in managing a portfolio of client companies listed on the Catalist Board of the Singapore Exchange
• Provide necessary advice for listed companies’ directors and management on continuing listing obligations and corporate governance matters
• Maintain an excellent relationship with the regulators through close and regular dialogues to drive resolution of issues
• Conduct compliance review of corporate actions carried out by clients, including shareholder circulars, public announcements and press releases
• Drive regulatory applications/notifications to clients and stakeholders and addressing regulators’ queries and requests in a satisfactorily and timely manner
• Carry out ad-hoc tasks/projects as requested by the immediate team leader
• Prepare/maintain documentation, compliance papers for internal committee approvals and application/consultation letters to the SGX
• Assist in providing training on relevant listing rules and regulatory matters to stakeholders
• Monitor daily share price and media reports of clients

Key Requirements:

• Degree in Accountancy/Business/Finance
• 2 years of working experience as an external auditor in Big-4 audit firm.
• Good understanding and analyzing financial statements.
• Generate financial reports.
• Self-motivated, responsible, meticulous, strong analytical ability and project management skills, able to work independently and a good team player
• Able to communicate effectively with clients, regulators and other professionals such as lawyers, auditors, financial advisors and valuers

If you are shortlisted for the first round of screening, our Recruiter will contact you directly.

EA License No: 21C0571 | EA Reg No:21103634 (Johnny Wu)

Responsibilities:

Products Knowledge and Hands-on Experience

• 3 years direct fund house compliance experience
• Working knowledge of equities and fixed income funds
• Familiar and working experience with UCITS, CPFIS rules
• Experience in setting compliance rules in Portfolio Management System

Secretary of:

• Board Meeting
• Risk Management Committee Meeting

Regulatory, Reporting, Surveys/Questionnaires:

• MAS, MoM Survey / Questionnaires, etc.
• Acting as LO and in change of regulatory and ad-hoc MAS reporting e.g. Form 11
• Fund registration/renewal with Opera and other jurisdictions
• Responding to Queries of Regulators
• Internal Reporting, e.g. monthly report to Board of Directors

Handling of Yearly Audits

• Statutory Audit
• Internal Audit
• ISAE3402 Audit

Monitoring Conflicts of Interest

• Directors’ Business Interest
• Periodic Disclosure to Investors
• Staff Personal Dealing/Declaration

Yearly Routines

• Outsourcing review
• BCP Testing
• Licensing Conditions Review
• Compliance Fit and Proper requirements
• Enterprise-Wide Risk Assessment
• · Updating Risk and Compliance Manuals
• · Identifying Critical IT systems

Onboarding and Periodic Reviews

• Brokers
• Introducers
• Clients

Upkeeping Registers

• Representatives
• Distributors/Introducers
• Outsourcing
• Gifts and Entertainment
• Complaints
• Errors/Exceptions
• Continuing Education
• Suspicious Transaction Reports

Requirements:

• Bachelors/Master’s degree
• 2-4 years’ experience working in a licensed/regulated business
• Past compliance experience is a plus
• Responsible, independent, extremely diligent and detailed
• High stress tolerance

The incumbent will report to the Head of Central Compliance and Assurance in implementing continuous monitoring activities for compliance related areas. Working closely with the Chief Compliance Officer, Regional Compliance team and various business stakeholders within the organisation, this individual will develop and implement monitoring and testing processes to ensure that all business activities are conducted in accordance with applicable laws, regulations and corporate policies.

Responsibilities:

• Identify and assess regulatory risks and develop testing strategies to address identified risks.
• Execute and maintain an effective compliance testing program that ensures adherence to relevant laws, regulations and corporate policies.
• Ensure that test plans are designed to cover all relevant areas of risk and that testing procedures are documented and communicated to all relevant stakeholders.
• Provide guidance and recommendations to business units to improve compliance controls and processes.
• Report on testing results to senior management and other stakeholders, including recommendations for corrective actions where necessary.
• Monitor the remediation actions identified to ensure they are carried out in accordance with the agreed timeline and their effectiveness.
• Maintain a thorough understanding of laws, regulations, industry standards and corporate policies related to insurance and financial advisory industry.
• Collaborate with Regional Compliance testing team, internal and external auditors to ensure that all audit findings related to compliance testing are appropriately addressed.

What motivates you?

• You obsess about customers, listen, engage and act for their benefit.
• You think big, with curiosity to discover ways to use your agile approach and enable business outcomes.
• You thrive in teams and enjoy getting things done together.
• You take ownership and build solutions, focusing on what matters.
• You do what is right, work with integrity and speak up.
• You share your humanity, helping us build a diverse and inclusive work environment for everyone.

What we are looking for

• Diploma / Degree
• At least 2-3 years of working experience in audit/quality assurance function within the financial industry (preferably insurance).
• Professional certification such as M5, M8, M8A, M9, M9A and HI and ICA Diploma in Compliance would be advantageous.
• An AML qualification such as CAMS or CFCS, or a privacy qualification such as CIPP or CIPM, would be advantageous (though not required)

What can we offer you?

• A competitive salary and benefits packages.
• A growth trajectory that extends upward and outward, encouraging you to follow your passions and learn new skills.
• A focus on growing your career path with us.
• Flexible work policies and strong work-life balance.
• Professional development and leadership opportunities.

Our commitment to you

• Values-first culture
  We lead with our Values every day and bring them to life together.
• Boundless opportunity
  We create opportunities to learn and grow at every stage of your career.
• Continuous innovation
  We invite you to help redefine the future of financial services.
• Delivering the promise of Diversity, Equity and Inclusion
  We foster an inclusive workplace where everyone thrives.
• Championing Corporate Citizenship
  We build a business that benefits all stakeholders and has a positive social and environmental impact.

About Us

DFI Retail Group (the ‘Group’) is a leading pan-Asian retailer. At 30th June 2023, the Group and its associates and joint ventures operated over 10,700 outlets and employed some 218,000 people. The Group had total annual revenue in 2022 exceeding US$27 billion.

The Group provides quality and value to Asian consumers by offering leading brands, a compelling retail experience and great service; all delivered through a strong store network supported by efficient supply chains. The Group (including associates and joint ventures) operates under a number of well-known brands across food, health and beauty, home furnishings, restaurants and other retailing.

DFI Retail Group is a member of the Jardine Matheson Group.

The Role

• Patrol all areas of the property. Monitor compliance with standard operating procedures. Identify and report safety concerns to maintain a safe work environment.
• Inspect facility, equipment and access points to determine that all are in good order.
• Monitor footage from surveillance cameras, assess and maintain compliance and safety.
• Verify proper functioning of physical security systems.

About You

• Minimum GCE ‘O’ Levels
• Experience in the loss prevention work would be an advantage
• Proficiency in Microsoft Office would be an advantage
• Able to work on weekends, public holidays and perform shift duties

Benefits

• Team Member Discount
• Subsidized Medical and Dental Benefits
• Training Opportunities
• Career Advancement

Follow us on Facebook/Instagram/Telegram: DFI Retail Group SG Careers!

Responsibilities:

•Assist Front Office with preparing and submitting KYC profiles to ensure completeness and accuracy of submissions

Perform back ground checks, name screenings, and public searches to check clients for adverse news

Work to establish a clear Source of Wealth profile, using client data, publicly available information and corporate records

Sourcing relevant documentation, news articles, and internet searches to corroborate the clients' declarations

Assist to accurately update profiles and submissions and work in conjunction with Front office and KYC team to complete cases

Collect, check and upload the requisite KYC documentation for account opening.

Previous experience preparing and submitting enhanced due diligence profiles

NON NEGO: minimum of 5 years banking experience

Preferred to have had both Front office and KYC experience

Proficient in performing screenings, corporate searches and back ground checks
Strong communication skills – able to manage relationships with both clients, internal and external stakeholders

A strong history working in conjunction with Compliance and KYC

Have a strong understanding of Risk

Excellent understanding of corporate structures, including Trusts and
Foundations.

Internal ref: 9369

Regards,

Lini

Recruitment Consultant

R22108463

• Work closely with project sponsor, cross-functional teams, and assigned project managers to plan and develop scope, deliverables, resources, budget and timing for new initiative
• Manage the oversight on program execution and quality of deliverables and formulate quality improvement plan to address gap identified
• Manage ticket and service delivery performance to continually improve the end user experience and customer satisfaction
• Champion high levels of IT service and support performance management by developing a strong understanding of how projects may impact service areas, and planning measures to minimize such impact
• Manage compliance with contractual terms and conditions
• Uphold the quality of IT service and performance and suggest improvement wherever required.
• To lead/ support the evaluation of the potential operational impact resulting from any regulatory changes or legislations which affects business compliance arrangements, procedures, processes, and awareness
• Review existing policies and controls, and suggest improvements to enhance internal frameworks and processes
• Provide full support on internal/external audit and compliance related activities

Requirements :

• Degree in Computer Science, Information Technology or other relevant fields
• At least 3 years of experience in service performance management or compliance officer role
• Experience in contract and vendor management
• Good knowledge of legal requirements and procedures
• Detail-oriented with the ability to multi-task
• Analytical and strong resource management
• Excellent in reporting skills
• Possess excellent verbal and written communication skills to work effectively with stakeholders at various levels in the organization

Please send your detailed resume in MS Word format to [email protected] with

• Education level
• Working experiences
• Each employment background
• Reason for leaving each employment
• Last drawn salary
• Expected salary
• Date of availability

Job summary

Manage the oversight on program execution and quality of deliverables and formulate quality improvement plan to address gap identified

The Regulatory Compliance Specialist will support the Senior Regulatory Compliance Manager in ensuring that the company operates in full compliance with the Payment Services Act 2019 and Monetary Authority of Singapore (“MAS”) anti-money laundering (“AML”), and counter-terrorism financing (“CFT”) regulations.

The role involves managing day-to-day compliance activities, including but not limited to, transaction monitoring, regulatory reporting, and reviewing internal processes, while working closely with business units to maintain adherence to regulatory requirements. As part of a small compliance team, the Regulatory Compliance Specialist will have a hands-on role and the opportunity to contribute directly to the overall compliance strategy.

General

• Support the Senior Manager in the implementation of compliance policies and procedures, and in drafting new policies and procedures
• Execute regular reviews and audits of the company’s compliance framework to ensure its effectiveness
• Support the Senior Manager in reviewing, updating and maintaining the company’s compliance program including ensuring an effective compliance risk management and control system.
• Support the Senior Manager in updating the yearly AML training program
• Monitor AML/CFT developments and regulatory changes in Singapore, ensuring the business stays informed and processes align with updates
• Liaise with global / regional teams on compliance procedures and best practices
• Engaging with business teams to understand their operations, objectives, and challenges to provide relevant compliance guidance and ensure alignment with regulatory requirements
• Any other ad-hoc matters including, but not limited to, responding and investigating requests from regulators, addressing compliance related queries from internal stakeholders

AML

• Continuously monitor transactions for unusual or suspicious activities using the company’s transaction monitoring platform
• Analyse and investigate red flags arising from the transaction monitoring system
• Perform sanctions screening on relevant parties
• Investigate and resolve potential sanctions hits, escalating confirmed matches as needed
• Maintain accurate records of investigation activities and decision making

Regulatory Reporting and Audits

• Support in the preparation and submission of regulatory reports and filings to the MAS, reports to management on a periodic basis on levels of compliance, and/or any issues arising from specific monitoring activities
• Support the year-end external audits and liaise closely with external auditors to ensure that the company’s regulatory reporting is completed on time