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Compliance Officer

Compliance Officer

DH WEALTH MANAGEMENT PTE. LTD.Singapore
30+ days ago
Job description

We are seeking an experienced and detail-oriented Compliance Officer to join our team.

The successful candidate will be responsible for tracking regulatory developments, supporting policy governance, maintaining regulatory risk assessments, and assisting in the execution of compliance assurance activities as well as the measures put in place to address the Anti-Money Laundering ("AML"), Countering the Financing of Terrorism ("CFT"), and Proliferation Financing ("PF").

Responsibilities :

Regulatory intelligence and impact assessment

  • Monitor and track relevant regulatory updates and emerging risks.
  • Assist in impact analysis and communication of regulatory changes to key stakeholders.
  • Maintain a regulatory change tracker and coordinate with business units for timely action.
  • Perform enterprise-wide risk assessment, evaluate and develop mitigating action plans.
  • Monitor compliance to CMS licensing conditions.

Policy and procedures governance

  • Assist in the periodic review and maintenance of compliance policies, standards, and procedures.
  • Ensure proper documentation, version control, and communication of policy updates.

    • Compliance assurance and monitoring

  • Assist in the planning and execution of compliance assurance reviews across business units.
  • Document testing results, control effectiveness, and areas for improvement.
  • Follow through on agreed remediation plans.

    • Support AML / CFT / PF Initiatives

  • Assist in improving AML / CFT framework and governance for the business and to provide support in related projects.

    • Management reporting and record-keeping

  • Support the collation and preparation of compliance-related management information and dashboards.
  • Ensure accurate reporting and maintain records for audit and regulatory review purposes.

    • Job Requirements and Qualifications

  • Bachelor's degree, preferably in Business related fields / Law
  • Minimum 3 years of compliance experience in financial services
  • Self-motivated and driven, able to work independently
  • Meticulous, good analytical and problem-solving skills
  • Good communication and interpersonal skills
  • Solid understanding of MAS regulations, AML / CFT requirements and insurance industry practices
  • Ability to work independently while being a strong team player
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    Compliance Officer • Singapore