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Job Title: Compliance Officer

Company: Asset Management House

Corporate Title: Flexible Salary Range: Generous Package
Location: Singapore Date Open: March 2019

Responsibilities / Duties:

·         Provide regulatory support such as managing licensing, reporting and conduct requirements.

·         Perform compliance reviews of client correspondence for use in Singapore and other Southeast Asia markets.

·         Conduct compliance monitoring and testing, including but not limited to staff trading monitoring.

·         Perform AML and sanctions checking.

·         Perform administrative duties including maintaining an effective documentation and filing system.

·         Maintain compliance manuals which are in line with best practices and relevant regulatory requirements.

·         Providing compliance advisory on outsourcing arrangements.

·         Review legal agreements from compliance’s perspectives.

·         Conduct in-house training for staff e.g. anti-money laundering, staff personal dealing, licensing, regulatory requirements etc.

·         Assist in the planning and execution of Compliance Monitoring Program, Risk Monitoring Program and prepare reports to management regarding the recommendations made from the review findings.

·         Participate in client due diligence where necessary.

·         Maintain clients’ database including subscriptions and redemptions information

·         Liaise with external & internal auditors on the compliance audit

·         To review FATCA / CRS filings

·         Conduct monitoring of substantial shareholding disclosures for countries under our care



Requirements / Qualifications:

  • working experience in compliance, legal and/or audit background in financial services industry 
  • Degree qualified in either a finance/accounting/law discipline.  Diploma is acceptable.
  • Confident, self-motivated, resourceful and able to take initiative and work autonomously.
  • Ability to work under pressure with good organization and time management skills.