The role is responsible for implementation of Compliance and AML/CFT program and managing the full range of matters related to compliance, governance, AML/CFT, compliance risk assessment, STR related investigations and compliance/AMLCFT training.
The compliance Officer reports to the CEO and General Counsel Singapore on on-going compliance status and on any findings of infringements and its recommended actions.
The Compliance Officer provides regulatory advisory relating to BNM guidelines to all compliance related enquiries form business units/ member offices.
Compliance Officer acts as Money Laundering Reporting Officer (MLRO) to submit Suspicious Transaction Report (STR) to Bank Negara Malaysia (BNM).
Company Regulatory Compliance and AML/ CFT
Ensure compliance to relevant laws, regulation and guideline in particular AML/CFT, KYC, PDPA, CRS and anti-bribery, as well as their implementation across the Company
Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory change/ practices throughout the Company across the region (with a focus on Malaysia)
Maintain appropriate relationships with relevant regulators and authorities and proactively engage with them, in particular connection with reporting, review finding, and implementation of corrective measure to migrate any identified risks
Continuously assess compliance risk and recommend measure to address them
Conduct internal compliance reviews on client due diligence/ KYC in accordance with anti-money laundering and counter-terrorist financing regulations and policies
Update and implement the Group compliance policies, manuals, procedures, systems and control mechanisms in line with current compliance regulations and best practices
Establish, enforce and maintain effective processes (Including training and development of appropriate supporting tools) to ensure that compliance policies, procedures and standards are effectively implemented across the company and ensure corresponding appropriate communicate and training
Report to Senior Management and General Counsel Singapore, on compliance risks and issues
Provides regulatory advisory to all compliance related enquiries form business units /member offices relating to client acceptance
Liaison with BNM on compliance related matters
Coordinate compliance activities of the various business units to ensure timely reporting of information
Undertake investigations in accordance with the Company’s policies and prepare investigation reports as required. Provide guidance to stakeholders concerned in regard to the follow-up actions, and monitor the closure of follow-up actions
Conduct new employee orientation trainings on the Company’s standard of business conduct, know your customer policies, anti-money laundering, personal data protection, anti-corruption and other compliance related topics
Prepare relevant training materials as required
Develop an annual compliance training calendar in line with Annual Compliance Risk Profile
Partner with HR to ensure timely completion of the compliance training by all employees in each annual cycle; monitor the closure of follow-up actions
People Management Activity
Liaise with Regulators
Liaise with Internal and External Auditors
Liaise with Management
Liaise with General Counsel Boardroom Limited
Degree in law, business, finance or compliance related disciplines
Minimum 3 to 5 years of relevant experience within the Management Advisory/ Financial Services/ Investment industries
Experience in a compliance function, preferably gained from accounting, corporate secretarial, management services, banking/ financial services and shared services firms
The Operations & Risk Manager reports to the Regional Operations Director / Group Risk Director to assist in managing all aspects of Group Risk and delivering Operational Projects across the region (i.e. Singapore, Malaysia, Hong Kong, China and Australia).
Support the design, implementation, maintenance and improvement of Risk Management policies and framework, and corresponding process for the firm
Support management with any aspect of Risk Management’s development and oversee key Risk Management training initiatives within their respective Country.
Work with Business Unit Heads to identify, develop, communicate and manage Enterprise and Operational Risk across the firm
Work with Compliance to proactively identify trends and emerging threats within the regulations that impact the firm
Manage the Risk Register on CAMMs relating to their respective countries.
Ensure all Risk incidents are reported promptly and accurately with sufficient detail by working with the relevant Heads.
Resolve all audit findings relating to Risk Management
Deliver RM-related training and communication when appropriate.
Maintain and administer Boardroom’s Risk Management System
Business Continuity Management
Work with IT and the relevant Heads in developing and maintaining business continuity plans to limit risks
Personal Data Protection
Support the design, implementation, maintenance and improvement of Personal Data Protection policies and framework, and corresponding process
Work with relevant Heads and Data Protection Officers (DPOs) to ensure compliance to data protection policies
Act as secretariat for all Data Protection Committee meetings
Work with auditors to prepare operational audit reports
Work with relevant BU / SU to ensure adequate insurance coverage
Support Regional Operations Director on Group projects, analysis and deliverables as assigned
Degree in commerce, economics, law, business, finance or related disciplines
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