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.
- 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.
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