Sunova Capital Management – Compliance Officer

Job Scopes:

• Review client profiles prior to account opening and ensure compliance with MAS Notices and Guidelines and to mitigate any risk on the license. Verify clients qualify under Accredited investor.
• Be responsible in on-boarding new clients for Individuals, Domiciliary Companies, Legal Entities, Financial Institutions, Trusts, External Asset Managers.
• Review of high-risk accounts such as PEPs, Sensitive Industries etc. Perform enhanced CDD.
• Review of relevant account changes such as signatories, Power of Attorneys, changes in the source of wealth etc.
• Provide guidance to Front employees on KYC related matters.
• Conduct AML transaction reviews and related investigations, ensuring that proper explanation of transaction background and necessary documentation are in place. Follow up actions with Front employees including Filing of Suspicious Transaction Reports.
• Provide general client servicing. Respond for info email, verify accuracy of monthly NAV report to clients.
• Handle internal and external requests by Audit, Authorities. Records and files keeping for MAS submission.
• Review and update policies, guidelines and procedures under compliance and onboarding manual.
• Involve in projects and discussion. Coordinate and assist on new fund setup with legal, fund administrator.
• Monitor new regulatory developments / business practices and ensure implementation of internal control processes together with compliance team.