Compliance Manager

Cultivar Staffing & Search; Singapore; On-site; SGD 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Compliance Manager to oversee compliance matters within the financial services sector. This pivotal role involves ensuring adherence to regulatory requirements, conducting risk assessments, and maintaining compliance policies. You will work closely with the Head of Legal and Compliance, providing insights and updates on compliance issues. If you have a strong background in compliance and a passion for regulatory affairs, this is an excellent opportunity to make a significant impact in a dynamic environment.

Qualifications

• 5-8 years of experience in Compliance within Financial Services.
• Strong knowledge of AML/CFT, SFA, FAA regulations.

Responsibilities

• Monitor compliance with Capital Markets License and MAS regulations.
• Conduct risk assessments and maintain compliance registers.
• Liaise with regulators and provide compliance advice.

Skills

Compliance Monitoring

Risk Assessment

AML/CFT Screening

KYC/CDD Applications

Regulatory Knowledge

Microsoft Office

Job description

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

1. Update and monitor compliance of Capital Markets License, Payment Services Licence requirements and MAS regulations (e.g. AML, Outsourcing, conflict of interest, cross-border payments etc) to ensure adherence.
2. Compliance ongoing monitoring checks and identified risks and implemented solutions to improve internal controls.
3. 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.
4. Due diligence screening for new client on-boarding and ongoing monitoring.
5. Complete and submit regulatory returns or application (e.g. surveys, representative notification, director’s application, changes in personal details for director, representative, etc).
6. Risk assessment and maintain and update the risk register.
7. Provide advice on compliance related issues and updates.
8. Incident reporting and investigation.
9. Design, develop and implement the personal data framework.
10. Periodic updates to management on compliance matters.
11. Liaise with Regulators, Internal and External Auditors, Accountants and Legal Counsel.
12. Ad-hoc general support for Head of Legal and Compliance.

Requirements

1. Minimum 5 – 8 years of relevant experience within the CMI/Brokerage/Financial Services/Investment and/or Payment Services industry.
2. Knowledge of key applicable regulations such as SFA, FAA, AML/CFT, FATCA, CRS, OFAC and/or SPI.
3. Experience in background check such as AML/CFT screening, KYC/CDD applications.
4. Experience in performing Risk Assessment.
5. Knowledge of regulations, operation procedures, audit framework, risk management framework.
6. 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.

By submitting an application to us, you will be deemed to have agreed for us to collect, use and disclose your personal data which you have submitted to your prospective employers, for the purpose of job search, and/or other services which you have consented us to perform on your behalf.

EA License: 19C9782 (Cultivar Asia Pte Ltd)