Compliance Officer

Employer
Complus Asset Management (Singapore) Pte Ltd
Location
Singapore, Singapore
Salary
7500
Posted
03 Aug 2022
Closes
02 Sep 2022
Ref
16192888
Job Function
Other
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
This role will report to the Compliance Manager in Hong Kong.

Core responsibilities are:
  • Ensure that staff personal trade clearance adhere to inhouse policies.
  • Handle MAS regulatory filings and returns.
  • Draft email correspondences with MAS for manager's review.
  • Keep compliance policies and procedures up to date
  • Draft licensing applications
  • Independence in research and keep abreast of regulatory changes and new requirements
  • Broader work or accountabilities may be assigned by management as needed
  • In due course, to become a subject matter expert on MAS regulations and policies and be the Liaison Officer and :
    • to be able to pick up red flags and propose appropriate course of actions to Management
    • represent and interact with examiners/auditors during internal, external, and regulatory examinations
    • advise management and employees on compliance matters and keep informed about regulatory developments
    • make recommendations to senior management on strategy and new initiatives, based on an in-depth understanding of the business
    • identify enhancements to the firm's compliance measures and processes and communicates to Management
    • ascertain training needs and conduct training necessary for staff and management
    • drive and manage compliance related projects

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