As a Compliance Officer, you must have a fiduciary mindset and the resolve to exercise all tasks with care and prudence. This role reports to the Chief of Legal and Compliance. The compliance team will be responsible for developing, reviewing, and implementing compliance policies and procedures across all investment and transactional activities. It is advantageous to have a legal background and previous experience in the financial sector.
Job Description
- Monitor regulatory developments and develop or update relevant policies and procedures to ensure the company’s compliance with all legal and regulatory requirements.
- Manage regulatory reporting and relevant Monetary of Authority submissions.
- Undertake AML/KYC/CDD work, identify and escalate risks to the senior management, when necessary, produce and maintain relevant KYC/CDD records.
- Assess and manage a company's legal and compliance risks by determining potential compliance issues and developing strategies to mitigate them.
- Participate in product development to identify regulatory risks.
- Review marketing materials, fund offering documents, and other ad hoc materials for compliance with internal and regulatory requirements.
- Assist in conducting staff training on compliance and regulatory issues requirements.
- Assist in updating, monitoring, implementation, and record keeping of all risk management policies and procedures.
- Assist in the Company’s external and internal audits.
Job Requirements
- Bachelor’s degree in law studies or equivalent.
- Must be familiar with Singapore's legal and regulatory environment.
- Minimum 5 years of legal background and experience in the financial sector.
- Able to perform time-sensitive tasks.
- Analytical thinking and report writing skills.
- Accurate and exceptional attention to detail.
