Role Definition
- MAS liaison officer for all regulatory matters including periodic filing, circulars, surveys, meetings;
- Be part of the group Compliance team to implement and maintain compliance policies and procedures upon new relevant laws and regulations;
- Keep abreast of all related local and regional compliance matters, and international fund marketing rules;
- Keep abreast of developments in fund regulatory requirements and industry practices, and advise Management accordingly.
- Provide compliance advisory support to business units.
- Identify inadequacies and weakness in systems and controls of Compliance and Company functions and suggest improvements.
- Carry out yearly reviews (business process reviews and compliance audits) to ensure that the Company complies with rules and regulations as well as with the company’s policies and internal control procedures.
- Check that documentation is vetted in compliance with legal and external consultants
- Overseeing international compliance regulatory including US region
Skill-set
Functional Skills
- Understanding of the SFA law, international rules and regulation applicable to fund management
- Understanding of internal controls and systems
- Experience with MS Office and Excel.
Soft skills
- Industry recognised diploma or certificate in Compliance, AML or related fields.
- Ability to multitask with adaptability to foreign work culture.
- Self driven and possess strong motivation and drive to succeed.
- Flexibility to liaise with various departments in India and offices in other jurisdiction
- Someone who believes in a long term career
- There will be two direct reports into this role
- Experience in supervisory or management is a plus or an independent contributor
Experience
- Min 8 years experience in CMS licenced fund houses
