Compliance Manager

Cultivar Staffing & Search; Singapore; On-site; SGD 80,000 - 110,000; Full time

Job summary

A corporate compliance firm in Singapore is looking for a Compliance Manager to oversee legal compliance matters. The successful candidate will manage adherence to regulations, provide compliance advice, and liaise with regulators. Candidates should have 5–8 years of experience in the financial services sector and knowledge of AML/CFT and related regulations.

Qualifications

• Minimum 5–8 years of relevant experience in compliance or financial services.
• Knowledge of key regulations like SFA, FAA, AML/CFT.
• Experience with KYC/CDD applications and risk assessments.

Responsibilities

• Update and monitor compliance with Capital Markets Licence and regulations.
• Conduct compliance checks and improve internal controls.
• Liaise with regulators and auditors regarding compliance.

Skills

Compliance monitoring

Regulatory knowledge

Risk assessment

Microsoft Office

Job description

Overview

Our Client is a corporate secretarial and accounting firm serving both local and multinational companies in Singapore.

As Compliance Manager, the successful candidate is responsible for supporting the Head of Legal and Compliance on all Compliance matters.

Responsibilities

• Update and monitor compliance of Capital Markets Licence, Payment Services Licence requirements and MAS regulations (e.g. AML, Outsourcing, conflict of interest, cross-border payments etc) to ensure adherence.
• Compliance ongoing monitoring checks and identified risks and implemented solutions to improve internal controls.
• Maintain and update of policies, procedures and practices, as well as compliance register (e.g. PEP, representative, KYC, AML, CFT, Cyber hygiene, business conduct, disclosure and communications and audit etc) to ensure compliance with all laws and regulations
• Due diligence screening for new client on-boarding and ongoing monitoring.
• Complete and submit regulatory returns or application (e.g. surveys, representative notification, director’s application, changes in personal details for director, representative, etc)
• Risk assessment and maintain and update the risk register.
• Provide advice on compliance related issues and updates
• Incident reporting and investigation
• Design, develop and implement the personal data framework
• Periodic updates to management on compliance matters
• Liaise with Regulators, Liaise with Internal and External Auditors, Accountants and Legal Counsel
• Ad-hoc general support for Head of Legal and Compliance

Requirements

• Minimum 5 – 8 years of relevant experience within the CMI/Brokerage/Financial Services/Investment and/or Payment Services industry
• Knowledge of key applicable regulations such as SFA, FAA, AML/CFT, FATCA, CRS, OFAC and/or SPI
• Experience in background check such as AML/CFT screening, KYC/CDD applications
• Experience in performing Risk Assessment
• Knowledge of regulations, operation procedures, audit framework, risk management framework
• Knowledge of Microsoft Office

Interested candidates are invited to send in your resume in MS Word Format* stating your past work experience, reasons for each leave, past and expected remuneration.

We regret to inform that only shortlisted candidates will be notified.

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EA License: 19C9782 (Cultivar Asia Pte Ltd)