Compliance Related

• Designated as a Compliance Officer, Anti-Money Laundering Officer and Data Protection Officer of the company.
• Act as main liaising contact person with the regulators (such as Monetary Authority of Singapore and SGX).
• Act independently to investigate on matters related to compliance.
• Assist in coordinating the required information/materials during regulatory-related audits.
• Ensure that the company’s appointed representatives understand regulatory landscape and adhere strictly to the regulatory guidelines (including fulfilling the continuing professional development requirements).
• Implement effective internal controls and risk assessments to manage/mitigate potential risks exposure.
• Remind front office/client-facing staff to perform periodic Client Due Diligence/Know your Client reviews on a timely manner.
• Submit regulatory filing/survey and management reporting within the stipulated timeline.

Documentation Related

• Maintain various registers of the company for record purposes, such as: Audit Issues and implementation, Complaints, Employee Declaration/Disclosure, Employee Gifts and Entertainment,
• Employee Training Hours, Employee Personal Dealing/Interest in Securities, Outsourcing Arrangements, Representatives, STR Filing, Trade Errors.
• Review policies and procedures of the company to ensure that these are updated regularly to comply with regulatory requirements.
• Vet through agreements with 3rd parties service providers (when invited) on compliance aspect.

Corporate Finance

• Maintaining appropriate checklists for corporate finance transactions.
• New client take-on procedures, including undertaking conflict checks and desktop-based searches as well as gathering the necessary documentation in accordance with anti-money-laundering policies.
• Reviewing transaction files of the Corporate Finance team prior to submission to the SGX.

HR Related

• Arrange new hire orientation concerning compliance issues
• Conduct refresher training to keep staff abreast of existing and new guideline (including those issued by the regulators as well as the DOs and DONTs).
• Work closely with the Chief Operating Officer of the company to ensure that staff clear their block/core leave, complete their minimum required training hours, apply for a representative licence to conduct regulated activities (or cease the licence when the representative resigns from the company).