Roles & Responsibilities
- Oversee and ensure the required CDD measures are performed on the prospects/clients and their related parties and on the investors.
- Work with client directors to facilitate the completion of the client and investor onboarding.
- Oversee and sample test periodic review process of existing client and investor relationships.
- Investigation of suspicious transactions/hits/adverse news surfaced on clients and investors.
- Liaise with client directors for issues and deficiencies identified.
- Work with internal/external parties (for example client directors, clients, fund managers, fund accountants, auditors etc)
1. Compliance & Risk Officer (“CRO”)
To act as the designated CRO for the business and acting as the liaison point with internal and external parties on statutory and regulatory matters, general risk and compliance matters and AML/CFT matters.
Responsibilities include but not limited to:
- Assist and support with the development of the operational and AML / CFT compliance strategy and framework (including developing tools and policy, procedures and processes) within the firm.
- Support the business in management of risk though the provision of risk and compliance advisory services, to include but not limited to the provision of anti-money laundering, control of financing of terrorism, anti-bribery and corruption and sanctions advisory and training.
- Track pertinent regulatory developments, assess impact on business operations, and assist with the creation of corresponding policies and procedures.
- Provide proactive and timely advice on relevant regulatory and firm policy requirements.
- Develop and provide effective, accurate and timely reporting on AML / CFT matters and compliance matters including adherence to corporate and regulatory policies and requirements to relevant the business and the board.
- Document and maintain accurate records including maintenance and updating of relevant registers as required by the Group.
- Assist in projects or process improvements assigned by management.
- Assist in user acceptance testing.
- Collation of statistics for management review.
- Track and monitor for any outstanding issues.
- Degree in Banking / Finance/ Accountancy or relevant qualifications
- 5- 7 years of relevant compliance experience in the funds or investment management industry.
- Strong working knowledge of various fund structures and terms.
- Experience with funds domiciled in Singapore/Hong Kong/Australia or Cayman Islands.
- Good knowledge of Singapore securities laws, the AML laws and regulations in SG.
- Exercise critical-thinking with ability to make strategic decisions based on sound judgement.
- Demonstrating a high level of accuracy and attention to detail.
- Computer literate with good working knowledge of Excel & Word.
- Prior experience in Navone, Paxus or Efront will be an added advantage.
- Service-oriented and client focused.
- A team player with strong oral, written and interpersonal communication skill.