Compliance Officer

Singapore

Close:31/05/2024

Job Description

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).

Requirements

  • A degree in business, banking and finance or a related subject.
  • 5-10 years of extensive work experience within the industry or related field.
  • Possess notable skills in change management, people management and presentation
  • Experienced communicator (both verbal and written) in working with all levels of staff
  • Good decision-making and problem-solving skills to resolve issues within reasonable timeline