Manager/ Vice President, Compliance

Job Responsibilities

• Manage the MAS and SGX licensing and registration process for new front office staff.
• Manage compliance registers (e.g. outsourcing, licensed representatives, FRCs etc) for Singapore office.
• Liaison to manage timely reporting to regulators, head office and local management.
• Monitor the company’s compliance with the existing policies and procedures.
• Provide timely advisory to business units in Singapore as well as overseas queries from head office.
• Review and monitor client onboarding and periodic reviews to ensure proper Customer Due Diligence (CDD), Enhanced Due Diligence (EDD) for high-risk clients, including source of wealth and funds verification.
• Review client data related to FATCA and CRS for reporting purposes.
• Respond to queries from business units, head office and local management relating to licensing requirements.
• Review and update policies and procedures in accordance to new regulations.
• Provide support to ad hoc compliance matters whenever necessary.

Qualifications and skills required:

• Bachelor Degree in relevant field in Accountancy or Business Law.
• At least 6-8 years of relevant compliance experience in a financial institution, investment bank, brokerage, securities exchange with experience in the markets and/or regulatory advisory compliance space.
• Strong knowledge and experience in Securities and Futures Act, relevant SGX rules and regulatory requirements.
• Attentive to details, compliance and control oriented and proactive
• Good communication skills in both Chinese (including Putonghua) and English.