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Director / VP - Compliance Officer, Alternative Asset Management - SMBC

Director / VP - Compliance Officer, Alternative Asset Management - SMBC

Sumitomo Mitsui Banking CorporationSingapore
30+ days ago
Job description

Responsibilities

Regulatorypliance

  • Liaise with MAS and other regulatory bodies on regulatory filings / submissions, inspections, and reporting obligations.
  • Monitor regulatory developments and ensure timely implementation of new MAS requirements, guidelines, and circulars.

Policies & Procedures

  • Develop and maintainpliance policies, procedures, and internal controls to meet MAS and global regulatory requirements.
  • Ensurepliance frameworks are tailored to the unique operational characteristics and risks of our investment strategies.

    • Monitoring & Surveillance

  • Oversee thepliance monitoring and testing program, including trade surveillance, AML / CFT screening, and personal account dealing reviews where applicable.
  • Conduct or coordinate with group departments onpliance reviews and internal audits
  • Monitoring regulatory developments and updating internal policies accordingly.

    • AML / CFT & KYC

  • Work closely with fund administrators and act as the designated AML Officer and / or Money Laundering Reporting Officer (MLRO), where applicable.
  • Ensure adherence to MAS AML / CFT guidelines and global standards for investor onboarding and ongoing monitoring, especially inplex fund structures.

    • Training & Advisory

  • Providepliance advisory support to investment, operations, and distribution teams on fund structuring, product launches, and cross-border activities.
  • Lead regular staff training sessions onpliance, AML, and conduct risk topics relevant to alternative investments.
  • Prepare and present regularpliance reports to the Board, CEO, and relevantmittees.
  • Support the risk management function and collaborate with internal / external audit teams.
  • Coordinate with internal legalpliance teams on group-levelpliance activities

    • Requirements

  • A bachelor's degree with good academic results from a good university, in Law, Accounting, Business or related discipline.
  • 10 years of relevantpliance experience in financial services. Candidates from alternative investment funds are preferred.
  • Good working knowledge of the investment management industry and financial products.
  • Strong analytical skills and ability to demonstrate and articulate a clear thought process in analyzing regulatory andpliance issues. Diligent with attention to details.
  • Ability to perform processes and controls usingpliance systems.
  • A proactive, confident, and highly motivated person who is able to work both independently and as a member of the team and with an ability to multitask.
  • Effectivemunication skills with clear and succinct written and oralmunication and interpersonal skills.

    • Job ID 1218753601

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    Compliance Officer • Singapore