Reporting Relationship: Compliance Manager Responsibilities: Secretary to Risk Management Committee MAS Survey / Questionnaires Conflicts of Interest Directors’ Business Interest Periodic Disclosure to Investors/Professional Indemnity Insurance Staff Personal Dealing Compliance Risk Outsourcing Licensing Conditions Fit and Proper requirements including Continuing Education Upkeeping Registers Representative Register Distributor/Introducer Outsourcing Gifts and Entertainment Complaints Errors/Exceptions Continuing Education Suspicious Transaction Reports IT Risk Periodic User Rights Review IT assets Inventory Critical IT Systems IT Security Operational Risk Business Continuity Management – BCP/DRP Brokers/Counterparties onboarding Brokers/Counterparties Periodic Reviews Introducers/Distributors Investment Risk Investment Mandate Compliance Internal Limits Compliance Other day to day compliance monitoring and ad hoc projects Requirements: Degree in finance, banking and finance or business related Minimum 1-2 years relevant experience in funds area
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