Compliance Officer- Associate / Assistant Manager

Roles & Responsibilities

Dedicated investment management platform for providing global investors with a gateway to invest through differentiated alternative investment strategies, with a CMS license in Fund Management issued by MAS

Role Definition

• Perform KYC and Due Diligence process for onboarding and ongoing monitoring of the clients including name screening.
• Keep abreast of developments, including MAS circulars and announcement, in fund regulatory requirements, industry practices, and analyse them to advise Management accordingly for any policy updates and implementation.
• Provide compliance advisory both regulatory and on AML to support the business units Able to work on regulatory filings including periodic surveys, circulars, meetings;
• To review, update and implement compliance policies and procedures on a periodic basis and upon new relevant laws and regulations changes;
• Identify inadequacies and weakness in systems and controls of Compliance and Company functions and suggest improvements.
• Carry out yearly reviews (business process reviews and compliance audits) to ensure that the Company complies with rules and regulations as well as with the company’s policies and internal control procedures.
• Review documentation including board resolutions, fund documents, agreements, etc.
• Assist in adhoc projects or tasks assigned from time-to-time eg : automation of compliance and AML processes, Document management system, etc.

Skill-set

Functional Skills

Soft skills

Experience

Tell employers what skills you have

Document Management

Ability to Multitask

Investment Strategies

Due Diligence

Soft Skills

Internal Controls

Investment Management

Adaptability

Audits

AML

CMS

Business Process

Regulatory Requirements

KYC

Screening

Surveys