Our client is a leading independent and diversified financial services group providing specialised investment management, personal wealth advisory and corporate fiduciary services. There is now an exciting opportunity to join the firm as Head of Legal and Compliance.
- Assume responsibility for delivering and coordinating the legal, compliance and risk management functions supporting the Singapore based financial services
- Manage Singapore’s related licensing obligations and regulatory relationships
- Provide leadership, management, supervision and support to the Singapore compliance team
- Provide training and ensure adherence with compliance and risk management policies and protocols by all staff
- Keep abreast of applicable regulatory and statutory matters relevant to the industry to ensure that management is fully informed of current, new or proposed legislation
- Responsible for risk assessment and risk review processes at client onboarding phase including AML/CDD/KYC/FATCA/CRS, ongoing review and administration
- Responsible for ongoing review, maintenance and development of key risk and compliance documentation including FATCA/CRS review, BCP/DRP, Risk Assessment, Risk Management Processes and Procedures, Enterprise-Wide Risk Assessment process for the licensed entities
- Review, develop, enhance and implement improvements and changes to the company’s Compliance Manual and system of internal controls
- Supervise team to conduct periodic review of all accounts and report findings to the company’s Board.
- Law, finance, accounting or business degree or degree level qualification. STEP qualification preferred. ICA qualification preferred
- Minimum of 7-10 years of relevant experience in trust/funds/financial advisory/asset management/banking industry, demonstrating technical strength and advisory support in relation to Trust Companies Act, Trustees Act, Securities and Futures Act, Financial Advisors Act, amongst others
- Strong technical skillsets, product knowledge and communication skills
- Strong product knowledge
- Demonstrates leadership qualities and abilities to build and maintain effective internal and external relationships
We welcome interested qualified candidates to email an updated resume in word doc format to firstname.lastname@example.org indicating current and expected compensation. We regret that only shortlisted candidates will be notified.
[Florence Teo, R1105626]