The Company
Our client is an established global financial institution. They have consistently recorded a strong financial performance and are well-positioned to achieve their growth plans for the APAC region. They are looking for an experienced Compliance Officer with a legal background/training to join the existing team in Singapore.
The Role
You will be an instrumental member of the Compliance team, taking care of the followings:
(i) Assist the management to ensure that the overall activities of the company’s Singapore office will comply with all the relevant and applicable laws, regulations and regulatory rules;
(ii) Operate and enforce the company’s internal compliance policies and procedures;
(iii) Facilitate the company’s growth strategy and expansion plans on new products and into new territories.
The responsibilities associated with this role are expected to include but not limited to:
- Provide compliance advisory services to management, business, and functional units in relation to Singapore/APAC region’s regulatory regimes;
- Construct, review and maintain compliance policies, procedures and processes to ensure that the systems and controls framework is adequate and up-to-date;
- Conduct compliance reviews, perform compliance monitoring and surveillance to ensure that policies, procedures and practices are being followed and adhered to;
- Monitor business activities and put in place specific measures as necessary;
- Ensure that the AML systems and controls meet regulatory requirements and are complied with;
- Handle conflicts of interest analysis and management;
- Work on compliance operations such as gifts and entertainment registration, personal account dealing and outside business interests approval, handle KYC and client due diligence etc. that may be required;
- Prepare internal reports and management information, assist on filing regulatory reports;
- Assist on developing and delivering staff training.
Requirements
- Qualified lawyer or law degree holder from a reputable university
- Minimum 3 years of relevant Singapore/APAC Region’s compliance experience in a financial institution desirable but not essential (candidates with 3-5 years PQE from law firms and/or outside financial services industry are encourage to apply)
- A self-starter with keen initiative and excellent interpersonal skills
- A professional with high integrity
- Able to work with a minimum level of supervision
- · Strong analytical and evaluative skills, attentive to details
To apply, please submit your resume to [email protected] reference number A009514.
“Data provided is for recruitment purposes only”.
EA licence Number: 13C6733
EA Personnel Number: R1333454
