Key responsibilities:
· Contact person for MAS
· Coordinate for statutory audit and inspection matters
· Policies and procedure
· Personal share trading
· Trades monitoring
· AML/CFT matters, including screening, onboarding, CDD, etc
· Keep abreast with regulatory changes
· Liaise with external legal counsel for legal related matters
· Business compliance, for example, advisory on new products, new services offered, new business mandates, etc
· Data protection officer
· Identify any gaps within the compliance framework and recommend to senior management enhancements
· FATCA & CRS matters
· Plan, develop and conduct Compliance training
· Investment compliance matters, such as review distribution materials, cross-border restrictions
· Liaise with corporate secretary and company secretary on matters such as new entity set up, board resolutions, etc.
· Any other ad-hoc projects or matters
Requirements:
· University Degree in Legal or Finance or other related disciplines
· Professional qualifications in compliance or risk management is preferred
· Must have at least 5 years of relevant experience gained from financial institution/brokerage firms
· Familiar with the MAS Securities & Futures Act & Financial Advisers Act, and preferably familiar with the SGX Securities and Futures Trading Rules and SGX-DC Clearing Rules
· Self-motivated, hardworking and independent
· Experience with regulatory compliance, investment compliance and business compliance
· Previous experience with a broking firm and fund management company is necessary
· The ability to write and read Chinese is a must as HQ is a Chinese entity
· Self-starter and ability to work unsupervised as this is a standalone role
