VP Compliance

Our client is a well established financial institution with a diverse offering to its global clientele ranging from retail, accredited to institutional investors.

Description

• Undertake KYC analysis on high risk customers and KYC/AML queries and escalations.
• MAS Representative licensing and tracking
• Help set up and implementation of Regulatory requirements, Compliance processes, and Compliance policies and controls
• Collate information and Handle Compliance reporting internally and externally to regulators/authorities
• Transaction and activity monitoring, surveillance and reviews
• Core Compliance activities review and approvals (including PAD, G&E, Outside Business interest)
• Assist in Compliance training
• Coordinate with other functions in SG on Compliance matters
• Maintain and track Outsourcing activities of the company
• Assist Compliance Director of SG in Compliance matters and projects.

Profile

• Degree holder with minimum 7 years' compliance experience in Banks or Securities company serving Retail Investors, Accredited and Institutional Investors.
• Familiar with Central Compliance matters including Rep licensing, Outsourcing, PAD, Transaction monitoring.
• Good knowledge of SFA, FAA and regulatory expectations for CMIs
• Good knowledge of Capital Markets and Investment products.
• Familiar with AML/CFT, KYC regulations and requirements.
• Ability to work independently and equipped with good interpersonal skills and analytical skills.

Job Offer

Above the market remuneration with strong upside on the variables in a reputable and stable financial institution and golden opportunity to help set up the compliance team.

To apply online please click the Apply button below. For a confidential discussion about this role please contact Gavin Teo (Lic No: R1328332) on +65 6416 9835