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General Compliance Manager - Vice President

Non-disclosed Singapore
Posted 3 days ago Permanent Competitive
A foreign Investment bank is looking for an experienced general compliance manager to join their team in Singapore.

 

 

Responsibilities:

  • Responsible for the oversight of the firm's compliance with the rules of all relevant Singapore MAS regulatory requirements in Capital Markets Services License
  • Assist, assessing, identifying and mitigating the firms regulatory risks in conducting its business cross border into all relevant jurisdictions 
  • Ensuring that the firm maintains the necessary licences, authorities and/or policies and procedures to conduct cross border business in compliance with relevant local laws or regulation 
  • Ensure the firm keep up-to-date with all the regulatory changes and developments, including anti money laundering. 
  • Advise Management, and line units, on all matters relating to compliance including Bank dual-hatted activities 
  • Serve as the point of contact for supervisory authorities 
  • Take appropriate action and reporting in accordance with procedures on the occurrence of a breach of laws or regulations to direct managers 
  • Assist the Chief Compliance Officer in reporting to the the firm's Asia Board, Audit Committee and Risk, Compliance and Control Committee in respect of all aspect of compliance oversight and money laundering prevention responsibilities 

In relation to Money Laundering Prevention:

  • Ensure relevant AML rules and regulations are tracker, impact to the firm's business and operations are assessed
  • Ensuring that the firm carries out the identification of clients
  • Ensuring that the firm has appropriate procedures and/or systems in place to deal with the reporting to MLRO of knowledge or suspicions of money laundering

 

Requirements:

  • Minimum 7 years of experience in working in Capital Markets Compliance 
  • Familiar with MAS Capital Markets Service License requirments and regulations
  • Experienced with working with a global team 
  • Singaporean PR or Citizen will be prioritized

 

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