Our client (a foreign financial institution under their PE fund division) is looking for an experienced and result-driven Compliance Officer to lead a lean compliance team in ensuring that the Company complies with relevant industry regulations and in instilling a strong compliance and governance culture.
You will work closely with the CEO and Director to address compliance issues, mitigate risks, and maintain a strong overall ethical and legal integrity.
Job Scope
- Lead the team and assist the Director of Governance, Risk and Compliance to implement and maintain governance and compliance policies and procedures;
- Serve as the point of contact for regulators (ie: MAS) including periodic filing, circulars, surveys, meetings;
- Keep Keep abreast of all related local and regional compliance matters, and international fund marketing rules and provide guidance/advice to Management and Staff;
- Provide compliance advisory support to relevant business units;
- Lead the compliance related work including obtaining documentation for customers, performing customer due diligence checks (KYC) and onboarding for all new clients and continuous due diligence review for existing relations etc;
- Provide advice with respect to marketing requirements of funds in various jurisdictions (eg: US, Europe) and coordinate with respective jurisdiction counsels/compliance team for registration of funds and regular reporting.
- Identify inadequacies and weakness in systems and controls of compliance and Company’s functions and suggest improvements.
- Carry out ongoing monitoring (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.
- Organize and plan compliance trainings to educate Staff.
- Facilitate collaborations with external legal experts, auditors and compliance advisors.
- Maintain oversight over strong coordination with corporate secretaries to ensure proper maintenance of statutory records, company Registers, minutes Book.
- Assist with or take charge of ad-hoc projects or tasks as may be assigned from time-to-time
What you bring:
Functional Skills
- At least 6-8 Year(s) of working experience in the compliance function within the financial industry is required for this position.
- Experience leading team(s) and/or projects
- Extensive knowledge of compliance standards and protocols, including SFA, FAA, AML & KYC Notices
- Knowledge of The Alternative Investment Fund Managers Directive, US SEC, FINRA requirements would be an added advantage
- Bachelor’s Degree from a reputed University and/or relevant certification
- Knowledge of Companies Act and SFA and FAA and related regulations.
- Experience with MS Office andExcel.
Soft skills
- Proactive, Diligent and Attentive to details
- Ability to multitask with adaptability
- Self-driven and possess strong motivation and drive tosucceed
- Someone who believes in a long-term career
