Compliance Manager / Senior Manager - Bukit Merah
CAPSTONE INVESTMENT CORPORATE FINANCE PTE. LTD. Bukit Merah Permanent
We are looking for motivated professionals with relevant experience to join us as Compliance Manager/Senior Manager. The candidate will oversee the compliance matters of our company and will be the key contact person with our regulators, namely the Monetary Authority of Singapore (MAS) and Singapore Exchange Ltd.
The candidate should be familiar with regulations relating to Securities and Futures Act (SFA), including AML and CFT requirements.
Job description- Provide compliance advice and ensure that the company and licensed representatives are in compliance with the SFA and relevant SFA regulations, guidance and notices, including AML and CFT requirements, and adherence to company policies and procedures
- Monitor regulatory developments and responsible for the maintenance and development of compliance manuals, policies and procedures
- On-going compliance matters such as maintaining enterprise-wide risk assessment and outsourcing register, restricted stocks list register, review of staff trading, monitoring staff CPD training hours, conduct of annual internal compliance training and compliance review of completed transactions
- Assisting transaction teams with clients’ background checks for purposes of clients on-boarding
- On-going monitoring of shareholders, directors, staff and clients for the purposes of KYC, AML, CFT and conflicts of interest requirements through commercial databases
- Attend to internal and external compliance audit requirements and queries, including maintaining regulatory relationship with the MAS
- Review and/or prepare and submit regulatory and compliance filings and surveys
- Provide recommendation on the due diligence exercise in relation to investment/ fund activities and advise on the remedial action in relation to any compliance issues identified
- Assist in ad-hoc administrative matters.
- At least a Bachelor’s degree or equivalent
- At least 5years of relevant experience in compliance function of corporate finance and asset management business
- Familiarity with SFA, SFR, AML and CFT requirements
- Experience in liaising with regulators, such as the MAS, with an advantage
- Proficient in spoken and written English and Mandarin
- Proficient in using Microsoft Office and databases such as World Check, Lexis Nexis, Questnet
CAPSTONE INVESTMENT CORPORATE FINANCE PTE. LTD.Toa Payoh, 7 km from Bukit Merah
We are looking for motivated professionals with relevant experience to join us as Compliance Manager/Senior Manager. The candidate will oversee the compliance matters of our company and will be the key contact person with our regulators, namely...
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Our client is looking for a Compliance Manager to establish a compliance structure for a rapidly expanding FinTech company.
• Tanjong Pagar area
• Friendly and enjoyable work environment
• Public listed
Job Responsibilities:
• Establish...
Bukit Merah
About the Role
As a Manager in the Compliance Team you will report to the Head of Compliance/Directors and be responsible for a number of important administrative tasks and provide support to the Compliance, Investor Services and Fund Accounting...