In-charge of the overall regulatory compliance of the firm
Conduct monitoring activities, including financial crime prevention, to mitigate risks and ensure compliance with regulatory standards and internal policies
Manage and maintain the compliance checklist and calendar to ensure timely regulatory submissions and adherence to compliance/regulatory deadlines
Perform compliance reviews, including incident reports, complaints, and whistleblowing investigations
Oversee the firm's client onboarding / KYC process to ensure regulatory compliance and risk management
Conduct firm-wide compliance training, including AML training, in timely and efficient manner
Act as the Data Protection Officer of the firm, ensuring proper information security and data protection in accordance with the Personal Data Privacy Act
Maintain, review, and update the firm's policies and procedures to ensure compliance with regulatory requirements and industry best practices
Keep stakeholders informed about new and existing regulatory requirements, including impact analysis, proposed actions, and implementation of necessary measures
Manage the firm's licensing matters, including MAS representative registration, fit and proper assessments, including ensuring the firm's adherence to its licence conditions.
Risk Management function
Foster a strong risk culture within the firm by promoting risk awareness and best practices
Conduct risk assessments to identify potential areas of concern and collaborate with business units to mitigate risks to an acceptable level
Proactively manage key risks by implementing and maintaining effective controls
Continuously enhance and improve policies and procedures to align with regulatory requirements and industry standards.
Others
Review and provide guidance on new business initiatives from a Compliance and Risk Management perspective
Participate in the firm's Business Continuity Management to ensure operational resilience
Manage and support internal audit engagements, including responding to audit findings and implementing corrective action plans
Oversee IT implementation with a focus on cybersecurity and cyber hygiene to safeguard company systems and data
Provide oversight on operational settlement matters to ensure efficiency and compliance with regulatory requirements.
Requirements:
Minimally a Bachelor's degree, preferably in Law, Accountancy, Finance, or a related field
Minimum of 6 years of relevant experience in the financial industry including liaising with regulators
Strong understanding in Securities and Futures Act, its subsidiary regulations, and the Monetary Authority of Singapore's Notices and Guidelines
Good advisory skills to guide the firm on risk events, develop risk mitigation strategies, and implement tools and controls for effective risk monitoring and management
Strong writing and communication skills
Self-motivated with the ability to work independently
Highly collaborative with excellent problem-solving and interpersonal skills
Able to prioritize workloads and ensure deadlines are consistently met
Strategic thinker with a clear understanding of objectives and their impact
Preferably possessing prior experience within a compliance function for an investment bank / securities house.
