- Responsible to assist the management in maintaining required compliance framework at the Firm and be updated on applicable regulatory requirements in Singapore as well as other jurisdictions where the Firm is regulated
- Responsibilities include review and update of Firm’s policies / procedures, to participate in certain committees / Board meetings and coordinate with auditors, lawyers, consultants (as required)
- Job scope shall also include carrying out day to day compliance activities including regulatory liaison, making regulatory submissions / filings, audit support, maintenance of compliance registers, financial promotion approvals, product approvals etc.
- Responsible to provide training and expert advice to fund management team on applicable regulatory requirements and provide assistance on risk management.
- Perform due diligence on clients / investors as well as service providers and carry out transactions monitoring
- Responsible to carry out compliance monitoring as per agreed plan, provide report to the management and take corrective actions as required
- Job scope may also include working on new projects such as application for additional regulatory license, compliance advisory for business expansion, advising group businesses on Singapore regulatory compliance requirements etc.
- Knowledge on applicable AML , KYC, conduct of business rules, Asset management business, Fund structures as well as willingness to learn on the Job is required.
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