Job Description
- Render regulatory advice to all business units of the Company to facilitate their compliance with all relevant rules and regulations of the regulators as well as the Group's internal policies and procedures.
- Formulate and formalize Compliance Policies and Procedures.
- Conduct KYC/CDD review, AML screening and risk assessment.
- Perform transaction monitoring, surveillance on e-comms and trade of business units.
- Conduct compliance briefing and training to business units.
- Act as the key liaison for internal and external audits of compliance and internal processes and procedures.
- Such other responsibilities or tasks the Department may assign from time to time.
Qualification
- A strong grasp of the regulatory structure of the financial services market, exchanges, regulators and key industry players.
- Understanding of MAS and Singapore Stock Exchange regulations and other Singapore regulatory requirements applicable to CMS licence holder, e.g. SFA, FAA and their subsidiary legislation, AML-related rules and regulations.
- A fair knowledge of the infrastructure required to establish a capital markets product trading platform in Singapore.
- Strong written and verbal skills with the ability to communicate his/her ideas clearly and concisely in English and Mandarin.
- A highly organized in his/her thinking process and confident in delivery of his/her compliance advice.
- Able to analyse an issue or case from both the macro and micro perspectives.
- Able to operate in a stressful environment.
- A team player that is driven and receptive to learning new products and practices and taking on challenges.
- Minimum of 5 years of relevant experience in Compliance in the wealth management/private banking industry in Singapore, with strong, AML and KYC compliance knowledge.
- Experience on trade surveillance, AML transaction monitoring would be an advantage.
Disclaimer
The preceding job description has been designed to indicate the general nature and level of the work performed by employees within this classification. It is not designed to contain or be interpreted as the comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job.
