Description

1. Provide advisory support on compliance matters covering both private and public side investment management activities covering Debt Capital Markets, Equity Capital Markets and Corporate Finance.
2. Assist in providing advice in regulatory frameworks for businesses involving new products, business initiatives or instruments to ensure adherence to relevant regulations and business conduct.
3. Draft and maintain existing compliance procedures and policies

1. Manage the MAS and SGX licensing and registration process for new front office staff.
2. Manage compliance registers (e.g. outsourcing, licensed representatives, FRCs etc) for Singapore office.
3. Liaison to manage timely reporting to regulators, head office and local management.
4. Monitor the company's compliance with the existing policies and procedures.
5. Provide timely advisory to business units in Singapore as well as overseas queries from head office.
6. Review and monitor client onboarding and periodic reviews to ensure proper Customer Due Diligence (CDD), Enhanced Due Diligence (EDD) for high-risk clients, including source of wealth and funds verification.
7. Review client data related to FATCA and CRS for reporting purposes.
8. Respond to queries from business units, head office and local management relating to licensing requirements.
9. Review and update policies and procedures in accordance to new regulations.
10. Provide support to ad hoc compliance matters whenever necessary.

1. Bachelor Degree in relevant field in Accountancy, Legal or Finance.
2. At least 6-8 years of relevant compliance experience in a financial institution, investment bank, brokerage, securities exchange with experience in the markets and/or regulatory advisory compliance space.
3. Strong knowledge and experience in Securities and Futures Act, ABS Guidelines, relevant SGX rules and regulatory requirements.
4. Attentive to details, compliance and control oriented and proactive
5. Good communication skills in both Chinese (including Putonghua) and English.