Associate/AD, FATCA/CRS, Compliance

Position Description

This position will lead the CSI FATCA-CRS team, Legal and Compliance department, reporting into the l Head of Compliance and Deputy Head of Legal and Compliance. He/she will work with the team to maintain a robust FATCA-CRS compliance framework, ensure efficient monitoring of clients and transactions, for identification and timely reporting of irregularities/suspicions. Appointed as ‘Responsible Officer’ of FATCA CRS of CSI to ensure compliance with tax transparency regulations applicable to all the CSI Group entities/affiliates spread over 23 countries, including major international financial centers Singapore, Hong Kong, China, ASEAN, US, UK/Europe, Japan and Australia.

The candidiate manages the centralized team of FATCA specialists based in Singapore who (a) manage classifications, registrations, and self-declarations of all CLSA group entities (b) perform due diligence on all clients and counterparties of CSI group covering equities, fixed income, derivatives, prime broking, corporate finance, wealth management, and asset management business (c) prepare and file reports to respective country authorities (d) manage withholding / reporting on based on country specific treaty rate pools.

This role also needs to liase with regulators on behalf of CSI Group, manages the global and country specific FATCA compliance strategy and policies, helps assess new products / services, provides training to all impacted departments, and handles exceptional issues. He also manages the AEOI services and US tax services provided by CSI’s Fund Administration business to clientele of international fund managers and funds through the leadership of team in HK and Pune to cover below matters:

Key Areas of Responsibilities

• Lead regulatory analysis and continuous monitoring to ensure complete compliance with FATCA obligations.
• Design and deliver targeted compliance training programs and develop clear, effective communications for stakeholders.
• Provide proactive compliance advisory support to business teams and resolve complex client queries with accuracy and efficiency.
• Oversee self‑assessments, review legal agreements, and manage regulatory registrations along with periodic reviews.
• Guide offshore teams in handling low‑risk cases while reviewing high‑risk, sensitive, or exceptional matters directly.
• Perform annual reporting analysis, submit required filings, and manage audits, inspections, and NPA assessments to ensure readiness.
• Drive policy updates, implement compliance sampling and monitoring frameworks, and administer withholding requirements.
• Respond to regulatory notices and inquiries promptly, protecting and maintaining the organization’s compliance standing.

Requirements

• Bachelor's degree or above, preferably in Accounting, Finance, Law or related discipline.
• Minimum 5 years of relevant experience in relevant field. Candidates with more experience will be considered with a higher grade.
• Deep expertise in the domain of global tax transparency initiatives, in-depth working experience in financial institutions, FATCA-CRS compliance across all relevant jurisdictions is required.
• Adapt to multi-tasking and meeting deadlines in high-pressure environment.
• Good knowledge in Tax, securities laws, operations, products and services and analytical skills with the ability to analyse large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately.
• Proficient in MS Office (Outlook/Word/Excel/PowerPoint), knowledge on Marekit will be an advantage.
• Articulate and able to demonstrate interest in working within FATCA-CRS.
• Self-motivated, well-organized and presented, independent and pleasant personality with good communication skills at all level.
• Good command of written and spoken English and Chinese (including Mandarin).