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Compliance Officer

Aeon Search Consulting
Singapore
Posted 2 days ago Permanent negotiable
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Recruit Aeon
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We are hiring a Compliance role for an AMC

Responsibilites

1. Execute duties of a compliance officer as required by local regulations

  • Ensure all regulatory compliance (e.g Securities Futures Act, Financial Advisers Act, SEBI) are met
  • Compliance and review of Anti-money laundering, FATCA, SEBI requirements and other local regulations that affects the company and the funds it manages or as specified from time to time
  • Report periodically to the board of directors
  • Ensure Fund compliance with the marketing aspects, such as disclaimers, MAS Fund and Representative registration etc
  • Update policies and procedures periodically or as and when there are changes in the respective regulations
  • Where applicable, acts as the compliance officer of the Funds managed by the company and ensure that such funds are compliant in their respective jurisdictions (eg UCITs-Ireland) at all times
  • Ensure minimum turn around time with respect to all new business initiatives

2. Comply with the provisions of the Companies Act and report on corporate governance

  • Liaise with Corporate Secretary to ensure all Company Law requirements are fullfilled
  • Gaining approval from the board with regard to corporate governance
  • Periodical reporting to the board on the developments as part of corporate governance
  • Prepare the respective committee agenda and minutes on a periodic basis or as may be required from time to time

3. Execute all legal provisions as required fro effective working of the regional offshore business

  • Review and handle all legal issues (ie contracts, Offer documents, adhoc agreements etc) pertaining to the offshore offices (ie SG, Dubai, Mauritius and in some cases India)
  • Ensuring legal, regulatory and compliance risk for the company's business is maintained at acceptable levels
  • Consult and discuss with external legal counsel on any legal issues or foreign regulatory laws that may arise from time to time.
  • Review offer documents, fund structures, etc from a legal perspective

4. Facilitate and co-ordinating compliance and legal related training programmes for employees on a periodic basis

  • Conduct training/seminars to communicate compliance requirements and legal regulations

5. Internal and external audit

  • Assist and address any audit findings and facilitate the compliance and adhere to regulatory processes and requirements
Job ID  13092022
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