Our client within the Fund Managment industry, is looking for experienced and passionate talents to join their growing business as Compliance Officer.
Compliance Officer:
Responsible for all aspects of compliance matters, related activities and projects. This will include the front, middle and back office processes, investment parameters and policies, marketing material reviews, the implementation of a compliance monitoring program and the provision of guidance and ad hoc advice to business units.
Roles and Responsibilities:
• Primary liaison and point of contact to the MAS and all other relevant regulatory authorities and enforcement bodies to clarify and resolve compliance issues
• Regulatory notification on suspicious transactions, conduct investigations and oversee resolution
• Regular reporting to the MAS and internal stakeholders and maintains the Representative Framework (RNF), including misconduct and fit and proper reports
• Monitor, research and assess impact of regulatory changes and developments on internal processes and framework and implement enhancements
• Periodic review of compliance policy and all other manuals to ensure relevance
• Support new business initiatives to assess potential compliance risks
• Handles internal and external audits and inspections
• Reviews marketing materials, including prospectuses before dissemination and lodgement with the regulators respectively
• Conducts training on compliance and regulatory matters to all staff
• Acts as MLRO and reviews CDD and KYC assessment for client on-boarding and periodic review on existing clients
• Reviews Enterprise-risk assessment (ERM) and report status and findings to stakeholders
• Perform periodic coding analysis in the trading system to ensure rules and constraints are effective and up-to-date
• Monitor and address pre and post-trade alerts in trading system to ensure sufficient controls are in place
• Enhance controls and processes to ensure compliance with investment restrictions
• Handle other tasks assigned by the supervisor
Requirements:
• Bachelor or above degree in Law or any relevant qualification
• Knowledge of investment industry and international financial markets, preferably holding audit, law, and Compliance background
• At least 5 years of Compliance experience with asset management companies/financial intermediaries
• Strong knowledge of local regulatory requirements and latest developments
• Strong English language skills and written/verbal communication skills
• Knowledge of Bloomberg, CMGR, Excel
• Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines
• Excellent organizational, prioritization and time management skills
• Ability to work under stress and meet tight deadlines
