about the company
Our client is a licensed Asset & Wealth Manager looking to recruit a Compliance Manager.
about the job
- Operate and manage an effective compliance monitoring program.
- Provide advice and guidance to management and all internal stakeholders on the company's compliance with the Capital Market License requirements and all relevant Securities and Futures Act (SFA) & Financial Advisors Act (FAA) regulations
- Liaison engagement with MAS and other regulatory bodies, as well as facilitating internal and external audits
- Perform stringent AML/KYC checks on new cleints and reviews on existing clients to ensure AML/CFT regulations are adhered to
- Perform gap analysis on current policies and procedures and ensure policies and manuals are regularly updated to be aligned with the latest regulatory requirements to minimise risk of any breach
- Regularly audit company procedures, practices, and documents to identify possible weaknesses or risk
- Conduct training on compliance matters for all staff
skills and experience required
- Bachelors Degree
- Minimum 8 years of relevant experience in Compliance roles within Asset/ Wealth Management
- Hands-on, proactive, with strong communication and interpersonal skills
To apply online please use the apply function, alternatively you may contact at 98237297 .
(EA: 94C3609/ )
