Our client is a newly incorporated brokerage company in Singapore. It has been approved by MAS to conduct the regulated activities of dealing in capital markets products that are exchange-traded derivatives contracts, over-the-counter derivatives contracts and leveraged foreign exchange contracts in September 2021. A NASDAQ listed company that operates an all-in-one trading platform offering a wide spectrum of financial products and services. Our client and its subsidiaries have licenses in Singapore, Hong Kong, Cayman Islands and Dubai and offer financial products and services including total return swap trading, contract-for-difference trading, insurance brokerage, and futures and securities brokerage.
- Flexible working options
- Fantastic work culture
- A role that offers a breadth of learning opportunities
The Job
Your Responsibilities will include:
- Prepare and review compliance handbook
- Handle MAS filings and inquiries from regulatory bodies
- Perform regular compliance checking to ensure compliance with regulatory requirements
- Handle KYC and AML-related matters as well as client onboarding compliance check
- Provide relevant advisory to business/support units and other AML teams on matters relating to compliance issues, transaction monitoring review and investigation conducted by the unit
- Perform analysis of suspicious transaction/activity reports to identify AML risk trends to support the AML risk management and controls within the Group
- FATCA / CRS reporting in accordance with relevant requirements
- Handle CPT related matters, such as update of CPT register
- Develop regulatory governance frameworks, policies, and procedures to effective management of regulatory risks for company, clients
- Facilitate and address any MAS queries and external authorities, as well as internal and external audits
- Familiar with outsourcing guidelines and prepare relevant policies, procedures and documents in compliance with MAS regulations and guidelines
- Undertake other ad-hoc duties as assigned
Ideal Candidate
Skills Required:
- University Degree in Business, Law, Finance or related disciplines
- At least 3 years of strong compliance experience in local regulatory compliance and risk management, with demonstrable knowledge of relevant regulatory requirements
- Strong knowledge or prior experience in key regulatory requirements such as the Securities & Futures Act, Financial Advisers Act, MAS Notices and Guidelines, and AML/CFT regulations
- Work independently, self-motivated, strong analytical skills and ability to exercise sound judgment and manage execution under pressure
- Familiar with FATCA and CRS reporting is preferred
- Effective communicator in both English and Mandarin to liaise with Mandarin speaking clients
- Comfortable working in the start-up environment
Ref: AJ9T2GJZBR
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