Compliance Officer (Fund Management & Securities Services) Permanent

Responsibilities

• Oversee the regulatory function, monitor, enhance and manage the Singapore and Hong Kong licensed entities’ compliance with regulatory requirement
• Develop, maintain, review, and implement local policies, procedures, and controls
• Assist in regulatory notifications, license applications, and submission to MAS and SFC
• Keep abreast of all related local and regional compliance matters
• Provide compliance advisory support to Business units
• Provide regulatory support such as managing licensing, reporting, and conduct requirements
• Perform KYC / AMLCFT checks and represent compliance function during client onboarding meeting
• Carry out compliance reviews to ensure that the Company complies with rules and regulations as well as with the company’s policies and internal control procedures
• Liaise and coordinate with regulatory bodies, external/ internal auditors, and various stakeholders on audit and various compliance matters
• Conduct compliance training programs

Requirements:

• At least 2 years of significant compliance experience, preferably in Financial Services with experience in Securities and Futures Act and Financial Advisory Act and relevant guidelines, notices, and circulars.
• Good knowledge and understanding of Singapore Regulatory requirements (Dealing and Advising in Securities and Derivatives, in addition, some Hong Kong regulatory knowledge and understanding (Type 1,2,4 and 5 License Type) relating to capital markets where possible
• Good understanding and experience in AML/KYC Onboarding especially Institutional Clients
• Basic understanding of Capital Market Products including Advisory.

Interested applicants, please send in your CV to:

Belle Thinzar Wint Moe
R
EA19C9859