Compliance Manager

Job Responsibilities
  • Update and monitor 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.
  • Liaise with Regulators, Internal & External Auditors, Account Executive of Boardroom Limited Finance and legal counsel Boardroom Limited.