1. Function – Specific Activity

• Updated and monitored compliance of Capital Markets License, Payment Services Licence requirements and MAS regulations (e.g. AML, Outsourcing, conflict of interest, cross-border payments etc) to ensure adherence.
• Compliance ongoing monitoring checks and identified risks and implemented solutions to improve internal controls.
• Maintain and update of policies, procedures and practices, as well as compliance register (e.g. PEP, representative, KYC, AML, CFT, Cyber hygiene, business conduct, disclosure and communications and audit etc) to ensure compliance with all laws and regulations.
• Due diligence screening for new client on-boarding and ongoing monitoring.
• Complete and submit regulatory returns or application (e.g. surveys, representative notification, director’s application, changes in personal details for director, representative, etc).
• Risk assessment and maintain and update the risk register.
• Provide advice on compliance related issues and updates.
• Incident reporting and investigation.
• Design, develop and implement the personal data framework.
• Periodic updates to management on compliance matters.

2. Ad-hoc general support for Head of Legal and Compliance

3. People Management Activity

1. Liaise with Regulators
2. Liaise with Internal and External Auditors
3. Liaise with Account Executive of Boardroom Pte Ltd Finance
4. Liaise with legal counsel Boardroom Pte Ltd

• A bachelor’s degree in a related field of study is required.
• Minimum 5 – 8 years of relevant experience within the CMI / Brokerage / Financial Services / Investment and/or Payment Services industry.
• Experience in the Financial Advisory or Securities or Derivatives industry.
• Knowledge of key applicable regulations such as SFA, FAA, AML/CFT, FATCA, CRS, OFAC and/or SPI.
• Experience in background check such as AML/CFT screening, KYC/CDD applications.
• Experience in performing Risk Assessment.
• Knowledge of Microsoft Office such as Excel, Word, and PowerPoint.
• Hands-on experience in Audit Framework, and Risk Management Framework.
• Sound knowledge in Operations Procedures & Process and Regulations.
• Good communication skills.
• Good problem-solving skills.
• Adaptability and eager to learn.

• Develop a strong understand of BoardRoom’s ESG Access Platform and our Advisory Services offerings.
• Prepare key information, presentation slides and reports for business meetings.
• Work closely with the Head of ESG on delivering advisory services to clients.
• Conduct quality research on the ESG landscape and developing insights.
• Be the main point of contact for quality after-sales support including trouble-shooting queries related to Boardroom’s ESG Access platform.
• Handle administrative duties for the team.
• Any other task assigned by your superior.

• Degree in business administration or relevant field.
• 1 – 2 years of working experience.
• Proficiency in MS Office and CRM software (e.g., Salesforce).

• Research and identify new business opportunities ( including new markets, growth areas, trends, customers, partnerships, products, and services – or new ways of reaching existing markets).
• Develop business development pipeline and generate leads.
• Arrange business meetings with prospective clients.
• Prepare sales proposals, invoices, and contracts.
• Keep records of sales, revenues, and invoices up to date.
• Provide quality after-sales support.
• Build long-term relationships with new and existing clients.
• Liaise with other BDs across the region for product queries.
• Any other tasks/project assigned by your superior and management.

• Proven working experience in business development.
• Proven sales track record.
• Experience in customer support is a plus.
• Proficiency in MS Office and CRM software (e.g., Salesforce).
• Proficiency in English.
• Market knowledge.
• Communication and negotiation skills.
• Ability to build rapport.
• Time management and planning skills.
• BSc/BA in business administration, sales or relevant field.

• Maintain good client relationship & provide excellent client service ensuring clients receive prompt responses to requests and queries.
• Manage a team of 2 – 4 staff in the most efficient manner. Groom, coach and train staff to enable them to carry out their roles effectively and efficiently. Provide and organise formal training for staff.
• Oversee daily operation – preparation and co-ordination of the statutory registers, books and documents, including submission of statutory forms and documents to the Accounting and Corporate Regulatory Authority (ACRA) and Inland Revenue Authority (IRA). For Listed Companies, necessary submission to, Stock Exchange and The Central Depository within the stipulated deadlines.
• Supervise daily operations of the group and ensure all communications with clients are supported by e–mails, outlining agreed action steps, responsibilities and deadlines.
• Develop an in–depth knowledge of existing and potential clients, their industry and key contacts.
• Meet prospective clients and follow–through until the job is done. Review fee and propose fee increase where appropriate.
• Ensure prompt billing and collection of debts.
• Participate in the preparation of budgets and forecasts for the group and comparison with previous budget/forecasts.
• Identify and recommend improvements to current policies and procedures, processes and client servicing arrangements in line with current business and regulatory practices.
• Provide up–to–date and accurate management reporting and attend Management meetings on ad–hoc and regular basis.
• Any other tasks/project assigned by your superior and management.

• Minimum: Qualified ICSA graduate or equivalent.
• Minimum 5 –7 years of relevant and related working experience.
• Strong written and verbal communication skills.
• Extensive and in–depth knowledge of Listing Manual, Companies Act, Catalist Rules and Securities and Futures Act, Insolvency, Restructuring and Dissolution Act procedures and guidelines.
• Excellent client servicing skills and strong problem-solving skills.
• Strong Microsoft Office skills (especially Word) and good knowledge of View Point.
• Excellent organizational & interpersonal skills.
• Ability to lead and motivate a team of professional staff.
• Ability to build team rapport with a willingness to share knowledge.
• Ability to guide staff in technical matters.
• Ability to identify problems and issues and apply problem solving skills to provide solutions.
• Ability to prioritize work and meet deadlines.
• Ability to multi–task under pressure.
• Meticulous, organized, detailed and deadline oriented.

• Assist the Manager in handling a portfolio of clients, including liaising with auditors.
• Handle full spectrum of corporate secretarial duties including company incorporations, registration of foreign branches & representative offices, striking-off of companies, preparation of directors’/ shareholders’ resolutions for on-going corporate secretarial matters for clients, application of employment passes, opening bank accounts and change of signatories, etc.
• Assist in drafting and updating database of corporate secretarial precedents.
• Ensure compliance with relevant statutory and regulatory requirements by both the company and clients.
• Other corporate or ad-hoc duties as required.
• Any other tasks/project assigned by your superior and management.

• Possesses Degree/Diploma in Business Administration or Law.
• Must have at least 2 – 3 years relevant experience preferably with experience in handling public listed companies.
• Holding or currently pursuing corporate secretarial qualifications (SAICSA) would be advantageous.
• Prior experience in corporate secretarial work is a great advantage but inexperienced candidates are welcomed as well.
• In-depth knowledge of Listing Manual, Companies Act, Catalist Rules and Securities and Futures Act, procedures and guidelines.
• Able to work both in a team environment and independently.
• Strong written and verbal communication skills.
• Organised, detailed and deadline oriented.
• Be flexible and adaptable in working styles.
• Pro-active manner, willing to offer new suggestions and share knowledge.
• Ability to prioritize work and meet deadlines.
• Ability to work under pressure.