(Senior) Compliance Specialist - Investment Bank

  • Negotiable
  • Singapore Singapore Singapore SG
  • Permanent, Full time
  • Taylor Root Singapore , EA Licence No: 12C6222
  • 20 Apr 18 2018-04-20

Mid-Level AML/KYC opportunities opened for candidates in the Invesment Banking/Capital Markets space - you will be working in small teams where you need to be highly independent and resourceful. Exposure to Asia regulations would be highly beneficial.

Responsibilties:

  • Establish, review and update the relevant compliance policies including but not limited to AML/CFT policy, KYC policy, complaint handling policy, record keeping policy, gift and entertainment policy and anti-bribery policy, and ensure the effective Implementation of the policy by the Firm.
  • Provide advice on Compliance and Financial Crime issues.
  • Plan, devise, review and deliver compliance and AML training.
  • Perform KYC screening of all new client relationships - responsible for client due diligence focusing on each client onboarding scenario and applying the appropriate level of customer due diligence in line with MAS or SFC AML/KYC guidelines and regulations.
  • Identify system enhancement focusing on controls and efficiency
  • Ideal but not essential to be familiar with MAS Capital Markets Services and SFC Licensed Corporation licensing requirements, Professional Investor Regime compliance as well as MAS Outsourcing Guidelines
  • Face Internal & external Auditors and have good understanding of process to provide process walkthrough and samples
  • Assist with compiling data for regulator surveys.
  • Assist with on-boarding licensing of new IBD team members.Ensure compliance as well as perform regular periodic reviews of client accounts and ensure updated client data maintenance / KYC refresh
  • Review business and external regulatory developments and ensure that impact assessments are completed and implemented where appropriate.
  • Ensure complaints are investigated appropriately, approve the final outcome and escalate any remediation decisions as appropriate.

Requirements:

  • Minimally a degree in Legal or Finance
  • 4-7 years of working experience in AML/KYC
  • Strong communication skills and ability to work under pressure
  • Display the potential and aptitude to make decisions and to front internal and external stakeholders

To comply with local laws, our Singapore office EA Licence No is: 17S8475.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.