Responsibilities:
- Act as a liaison officer with the Monetary Authority of Singapore (MAS)
- Assist with all regulatory submissions, surveys and questionnaires
- Ensure ongoing compliance for a Capital Markets Services (CMS) License Holder
- Assist with the onboarding and periodic reviews of investors
- Handle internal and external audit matters
- Assist with the update and maintenance of compliance registers (i.e., personal share dealing, conflicts of interests etc.) and internal policies and procedures
- Assist in the preparation of Board meeting materials and presenting to the Board on operations and compliance matters
- Perform annual outsourcing due diligence reviews for outsourced service providers
- Assist in the monthly review of investors’ risk management checklists
- Assist to plan the Firm’s annual business continuity test
- Work closely with and liaise with an external compliance consultant in matters relating to regulatory compliance.
- Ensure proper record keeping and support the Firm in all tasks related to operations
Requirements:
- Degree in Business or any related disciplines.
- Candidate should have at least 3 years of risk/operations and/or compliance experience in a financial services/asset management industry.
- Good understanding of MAS regulatory requirements;
- Meticulous and detail oriented;
- Excellent interpersonal skills, and ability to work independently;
- Self-starter who can work effectively independently;
- A self initiatied worker who can follow through with assigned tasks and meet deadlines.
