Compliance Officer - Permanent

Responsibilities: -

• Provide advice to management and staff on the relevant laws, regulations, rules and standards (“Regulations”), and the implementation of these provisions, and where necessary take appropriate remedial action if breaches are identified
• Monitor compliance with all relevant Regulations, and internal Group and local frameworks and policies by performing compliance examinations and review
• Assist with regulatory and management reporting
• Conduct reviews on marketing materials and work with the business to provide regulatory guidance on marketing and cross border sales activities
• Review and monitor compliance with the Anti-Money Laundering and Countering the Financing of Terrorism legislation, policies and procedures.
• Provide compliance training to staff to keep them abreast of regulatory obligations.
• Assist in coordinating audit and regulatory examinations
• Assist with compliance oversight of Company’s subsidiaries and branch office.
• Assist the team in the liaison function with regulatory bodies and industry association (MAS, SGX, CAD, SPF, ABS) in terms of inspections, official communications, submissions, requests, etc.
• Record, update and disseminate the bank’s regulatory watch (Banking, SFA, FAA) for consultations, notifications and disseminate to relevant parties on regulatory updates and advise on changes and implications, if any
• Implementing and updating of Process, Policies and Procedure to ensure adherence to the regulations and internal guidelines
• Responsible for licensing and timely reminders of the obligations of licensees.
• Conduct AML/KYC reviews for new business as well as on an on-going basis
• Assist in any ad-hoc compliance related projects as assigned.

You should have: -

• University Degree in law, accountancy or business or other relevant qualification
• 5+ years of working experience in a Compliance/Legal position preferably within asset management or a financial institution
• Knowledge of regulatory requirements (SFA/FAA/MAS notices, directives and guidelines) in relation to fund management activity
• Experience in dealing with external and internal auditors
• Able to work independently and under pressure
• Strong stakeholder management sills

Interested candidates may send their resumes to peggy_koh@persolkelly.com or apply through the application system. Shortlisted candidates will be notified.

PERSOLKELLY Singapore Pte Ltd • RCB No. 200007268E EA License No. 01C4394 • EA Registration No. R1110345(Koh Boon Sien)

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