Compliance Officer - Associate / Assistant Manager

Dedicated investment management platform for providing global investors with a gateway to invest through differentiated alternative investment strategies, with a CMS license in Fund Management issued by MAS

Role Definition

• Perform KYC and Due Diligence process for onboarding and ongoing monitoring of the clients including name screening.

• Keep abreast of developments, including MAS circulars and announcement, in fund regulatory requirements, industry practices, and analyse them to advise Management accordingly for any policy updates and implementation.

• Provide compliance advisory both regulatory and on AML to support the business units Able to work on regulatory filings including periodic surveys, circulars, meetings;

• To review, update and implement compliance policies and procedures on a periodic basis and upon new relevant laws and regulations changes;

• Identify inadequacies and weakness in systems and controls of Compliance and Company functions and suggest improvements.

• Carry out yearly reviews (business process reviews and compliance audits) to ensure that the Company complies with rules and regulations as well as with the company’s policies and internal control procedures.

• Review documentation including board resolutions, fund documents, agreements, etc.

• Assist in adhoc projects or tasks assigned from time-to-time eg: automation of compliance and AML processes, Document management system, etc.

Skill-set

Functional Skills

• Knowledge and understanding of the MAS regulations specifically on AML CFT requirements, SFA law, international rules and regulation applicable to fund management

• Knowledge and understanding of internal controls and systems

• Experience with MS Office and Excel.

Soft skills

• Industry recognised diploma or certificate in Compliance, AML or related fields.

• Self driven and possess strong motivation and drive to succeed.

• Flexibility to liaise with various departments in India and offices in other jurisdiction

Experience

• Asset Management/Hedge Fund/Mutual Fund company, MAS, Legal

• Min 2-3 years KYC/ AML/ compliance experience in the finance industry