Compliance Officer

LYGH CAPITAL PTE. LTD.; Singapore; On-site; SGD 50,000 - 70,000; Full time

Job summary

A financial services firm in Singapore is seeking a Compliance Officer to lead the compliance function for a licensed fund house. Responsibilities include ensuring compliance with policies, managing regulatory filings, and conducting due diligence reviews. Candidates should possess a relevant degree, 2-5 years of experience in compliance, and strong knowledge of regulatory requirements. Good command of Mandarin is required. This position offers a dynamic work environment with significant responsibilities.

Qualifications

• 2 to 5 years of experience in a fund house or compliance role.
• Strong knowledge of Anti-Money Laundering regulations.
• Ability to manage various compliance tasks.

Responsibilities

• Lead the compliance function of a fund house.
• Ensure adherence to compliance policy.
• Prepare quarterly regulatory and compliance reports.

Skills

Knowledge of legal/regulatory requirements

Proficiency in Microsoft Office Suite

Excellent communication skills

Strong attention to detail

Good command of Mandarin

Education

Bachelor's degree in accounting, finance, or related discipline

Job description

The candidate will be part of the non-investment team and lead the compliance function of an MAS CMS-licenced fund house, with cross border regulatory requirements.

Key responsibilities:

• Ensure adherence to compliance policy
• Update manuals and policies as required
• Assist with Operational Due Diligence requests
• Create and manage effective action plans in response to any possible risks identified
• Perform Know-Your-Customer and Due Diligence review on investors
• Regulatory filing e.g. FAR, FATCA and CRS annual filing
• Annual ADV filings for SEC RIAs
• Prepare quarterly regulatory and compliance report
• Manage employee disclosures – quarterly and annual
• Assist with internal audits
• Submission of MAS returns, forms, questionnaire and surveys
• Liaise with external parties for regular employee training programme
• Periodic review of Enterprise-Wide Risk Assessment
• Stay up to date with changes to MAS, SEC and CIMA regulatory guidelines
• Ensure compliance with OFAC and Sanction regulations
• Update Outsourcing Register and perform Outsourcing Due Diligence on service providers
• Assist in reviewing subscription and redemption contract notes
• Attending Board Meeting and take minutes
• Assistance with annual audit and review of financial statements

Requirements:

• Bachelor's degree in accounting, finance, business management or any related discipline
• At least 2 to 5 years of experience in a fund house, fund administration or compliance officer role
• Strong knowledge of legal/regulatory requirements and procedures e.g. Anti-Money Laundering
• Strong proficiency in Microsoft Office Suite (Excel, Word, Outlook)
• Familiarity of basic accounting principles
• Excellent communication skills and enthusiastic and quick learner
• Proactive, independent individual with attentiveness to details
• Strong commitment to work responsibilities
• Good command of Mandarin is required

Interested parties please send your resume, availability, contact details and expected salary.

Regrettably, only shortlisted candidates will be contacted.