Compliance Manager

Job Responsibilities

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.