Roles & Responsibilities

JOB DESCRIPTION

· Provide oversight, advice in the regulatory compliance space in the Capital Market Service (CMS) license regime and mandatory training to stakeholders on key regulatory requirements such as FATCA/CRS, SFA04N02, and any new changes or updates to the regulations in the Capital Markets Products (“CMP”) regime especially regulatory changes pertaining to SFA and SFR.

· Provide oversight and support to the stakeholders on general compliance matters, including drafting of company’s policies and procedures in accordance with MAS regulations in the Capital Markets Products arena when required.

· Maintains awareness of industrial trends on regulatory compliance in Capital Markets space, related emerging threats and technologies so as to understand the risk and safeguard the company better.

· Keeping abreast of market trends and applicable regulatory compliance matters including global developments which may have an impact on business activities.

· Manage and support implementation of company-wide new initiatives and projects.

· Act as the point of contact with regulators on risk and compliance matters. /Manage periodic filings/notification to MAS or other relevant regulatory bodies.

· Manage auditors on risk and compliance related matters.

· Support management in reporting to the boards and/or board committees on risk and compliance related matters.

JOB REQUIREMENTS

· Degree in Law, Finance, Banking, Business or Accountancy.

· 3 to 5 years of relevant compliance and/or risk management and/or audit experience within fund management industry.

· Good knowledge or understanding of laws and regulations including MAS Securities and Futures Act; MAS Financial Advisers Act; MAS AML/CFT regulations, MAS outsourcing requirements, MAS Technology Risk Management;

· Good knowledge or understanding of compliance framework and risk management principles and processes of fund management businesses.

· Self-motivated team player who is meticulous, organized and have strong analytical skills.

Tell employers what skills you have

Regulatory Compliance
regulatory filings
Risk Management
Capital Markets
Compliance
Risk and Regulatory
Banking
AML
regulatory support
Reporting
Internal Audit