Compliance Executive, Investment Industry (Singapore)

Singapore   14th February 2022

Our client is a financial services provider in the investment industry. Due to their strong regional growth, they are looking for a new Compliance Executive to join their team based in Singapore.

 

Key Responsibilities:

  • Assist in the review, update and implementation of compliance manual to meet the changing and new regulatory requirements
  • Assist in the preparation of compliance plans and risk assessments
  • Assist in the review of profiles and transactions escalated within AML process
  • Engage front office to obtain KYC and/or transactional information
  • Conduct periodic compliance review and monitoring (e.g. AML assessment, initial and periodic reviews on outsourced services)
  • Review of marketing materials
  • Maintenance of logs and registers in compliance with the relevant regulations
  • Other compliance work that may be assigned from time to time

 

Key Requirements

  • At least 1-2 years of working experience in Compliance, preferably in investment, asset management, securities brokerage, stock exchange or financial institutions
  • Good understanding of MAS Notices and Guidelines
  • Able to multi-task and meet deadlines
  • Good communication skills
  • Fluency in Mandarin (both written and spoken) is an advantage as the role may be required to communicate with stakeholders in China and Hong Kong

Interested parties please send your resume to Loretta Chan, R1876188 at [email protected].
Regrettably, only shortlisted candidates will be contacted

EA License Number: 20C0180 | Amethyst Partners | [email protected]