Compliance Officer

Responsibilities:

• Designing, developing, delivering and maintaining best-in-class compliance programs, policies and practices for compliance and risk management
• Providing oversight and guidance over the assessment of complex issues, structuring potential solutions and driving effective resolution with other stakeholders
• Managing regulatory and internal reporting and relevant MAS submissions, liaising with regulatory bodies and external service providers
• Lead AML/KYC/CDD work, identify & escalate risks to management when necessary, produce & maintain relevant AML/KYC/CDD records
• Identifying and assessing key compliance risks, ensuring compliance risks are effectively identified, measured, monitored, and controlled, consistent with the company's internal risk profiles and all policies and processes established within the risk governance framework
• Monitoring adherence to compliance and risk management policies, measuring risk through a robust control framework and ensuring that reviews are conducted consistently on a regular basis to confirm that controls identified are operating effectively
• Keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas
• Review any transactional alerts or investment restrictions generated from portfolio management system
• Review marketing materials and client correspondences for compliance with internal and regulatory requirements
• Conduct staff training on compliance and regulatory issues/requirements. Participate in ad-hoc group and regulatory compliance projects
• Assist in the Company's external & internal audits.

Job requirements:

• Bachelor's degree in an accredited university
• Minimum of 5 years of experience in compliance, perferably in Private Banking/Asset Management experience or similar environments
• Fluent in English and Mandarin as candidate are dealing with Greater China Market
• Excellent communication skills for liaising with regulatory authorities and internal departments
• A keen eye for detail to ensure all operations and documentation comply with regulations.