Associate/ Senior Associate, Regulatory Compliance (Client Compliance Services)
Full-time
Senior Executive
5 days ago
Job Description
Manage a portfolio of clients
Provide advisory and consultancy services to clients
Submit and/or review of regulatory filings a..
Job Description
- Manage a portfolio of clients
- Provide advisory and consultancy services to clients
- Submit and/or review of regulatory filings and notifications
- Liaise and correspond with MAS and auditors
- Periodic compliance reporting to senior management or board of directors
- Provide or review compliance manual
- Provide or review compliance checklists, registers, and calendar
- Prepare and review regulatory returns and forms
- Perform ad-hoc projects, including but not limited to regulatory mock inspections, AML/CFT CDD checks
- Other ad-hoc duties as the need arise
Qualifications
- Bachelor’s Degree in Business, Accounting, Law and any other relevant degrees
- Experience in regulatory compliance or internal audit with financial institutions (e.g. regulated fund managers, Big 4 audit firms, MAS) will be an added advantage.
- Meticulous and detailed-oriented
- Excellent communication and interpersonal skills
- Organised and self-disciplined;
- A team player with strong oral, written, and interpersonal communication skill.
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