Our client is a regional securities brokerage and asset management firm that adopts innovative and artificial intelligence technology. As the business continues to grow in Asia, they are looking for Compliance Manager to join their team in Singapore.
- Provide compliance advice on rules and regulations relating to the capital market product dealing, financial adviser and fund management businesses and internal policy and procedures requirements.
- Perform onboarding of new clients in accordance with relevant KYC/AML regulatory requirements;
- Perform periodic review of transactions and investigation with respect to potential trading malpractices identified;
- Perform ongoing AML/CFT review and monitoring on client accounts including transaction monitoring, name screening, ECDD etc;
- Keep abreast of development in regulatory requirements to ensure adherence to new and existing requirements. This may include updating policies and procedures and providing regulatory updates to Business;
- Assist in any ad-hoc matters and projects as assigned by the Management;
- Bachelor’s Degree, preferably business, finance or laws related
- At least 4 - 6 years of compliance experience in financial institutions
- Possess sound knowledge and/or working experience in MAS regulations, SFA, FAA, transaction monitoring, AML/KYC and funds/discretionary investment management
- Attention to details and possess an enquiring mind
- Good verbal and written communication skills
- Knowledge of Microsoft Office Suite (Word, Excel, PowerPoint)