Senior Manager, Regulatory Compliance
Job Responsibilities
- Develop, update and implement compliance policies, internal controls and procedures.
- Provide advice to Management and staff on the applicable laws, regulations, rules and standards, and the implementation of these provisions, and where necessary take appropriate remedial action if breaches are identified.
- Monitor compliance with all relevant regulations, and the internal Group and local framework and policies by performing compliance examinations, report the results on a regular and prompt basis to Senior Management and the Board of Directors.
- Monitor conflicts of interest and staff trading activities to ensure adherence to regulatory requirements and internal policies.
- Review and monitor compliance with the Anti-Money Laundering and Countering Terrorist Financing (AML/CTF) legislations and procedures. Perform Know Your Customer and AML/CFT due diligence checks, including screening, customer onboarding, ongoing risk assessment and suspicious transaction monitoring. Provide advice on AML/CTF queries.
- Review and approve marketing materials.
- Monitor compliance with personal data protection laws and policies.
- Manage the regulatory compliance framework for Foreign Account Tax Compliance Act and Common Reporting Standard (FATCA/CRS).
- Provide compliance training to staff to keep them abreast of regulatory obligations.
- Liaise with regulators and auditors on compliance-related matters.
- Discharge ad-hoc duties or projects assigned by the Head of Department or by Management.
Job Requirements
- Degree in Finance, Accountancy or Business
- 7-10 years of compliance experience in asset management
- Strong understanding of local regulatory frameworks (e.g. Singapore Securities and Futures Act and MAS guidelines)
- Proficient in MS Office. Ability to use data analytics tools is an added advantage.
- Analytical, proactive, with good communication and interpersonal skills
- Fast learner who is self-motivated and an excellent team player with a can do attitude
Please be informed that only shortlisted candidates will be notified.
Other Information
Lion Global Investors Limited is committed to equal employment opportunity. Our employment decisions are made based on job requirements and qualifications, and regardless of age, race, gender, religion, marital status, family responsibilities, or disability.
Please refer to our Data Protection Policy Statement on how we may collect, use and disclose your personal information.
Please be informed that only shortlisted candidates will be notified.
