Responsibilities:
Products Knowledge and Hands-on Experience
- 3 years direct fund house compliance experience
- Working knowledge of equities and fixed income funds
- Familiar and working experience with UCITS, CPFIS rules
- Experience in setting compliance rules in Portfolio Management System
Secretary of:
- Board Meeting
- Risk Management Committee Meeting
Regulatory, Reporting, Surveys/Questionnaires:
- MAS, MoM Survey / Questionnaires, etc.
- Acting as LO and in change of regulatory and ad-hoc MAS reporting e.g. Form 11
- Fund registration/renewal with Opera and other jurisdictions
- Responding to Queries of Regulators
- Internal Reporting, e.g. monthly report to Board of Directors
Handling of Yearly Audits
- Statutory Audit
- Internal Audit
- ISAE3402 Audit
Monitoring Conflicts of Interest
- Directors’ Business Interest
- Periodic Disclosure to Investors
- Staff Personal Dealing/Declaration
Yearly Routines
- Outsourcing review
- BCP Testing
- Licensing Conditions Review
- Compliance Fit and Proper requirements
- Enterprise-Wide Risk Assessment
- Updating Risk and Compliance Manuals
- Identifying Critical IT systems
Onboarding and Periodic Reviews
- Brokers
- Introducers
- Clients
Upkeeping Registers
- Representatives
- Distributors/Introducers
- Outsourcing
- Gifts and Entertainment
- Complaints
- Errors/Exceptions
- Continuing Education
- Suspicious Transaction Reports
Requirements:
- Bachelors/Master’s degree
- 3-6 years’ experience working in a licensed/regulated business
- Past compliance experience is a plus
- Responsible, independent, extremely diligent and detailed
- High stress tolerance
