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StriveX Pte Ltd

Regulatory Compliance Specialist (AVP)

StriveX Singapore
Posted 2 days ago Permanent S$ 144,000
S
Posted by
Suhani Malhotra
Recruiter

Regulatory Compliance Specialist (AVP)

Excellent opportunity to join a well-reputed international financial institution. The role sits within their fund services team to support the compliance function. This is a sole contributor role and this individual will have the chance to progress into a Head of Compliance role.

Overall role is to act as the Compliance Associate Vice President - Fund Services, covering Asia, particularly ensuring compliance with applicable laws and regulations in Singapore and Hong.

Job Responsibilities:

  • Assist with collating licensing related documentation as well as review licensing / exemption related documents/forms
  • Participate in discussions with relevant regulators
  • Act as point of contact for regulators’ queries on Fund Services operations and licence applications
  • Handle internal and external audits
  • Submit regulatory reports on a timely basis
  • Maintain, monitor and update local laws and regulations
  • Ensure all licensed representatives of the Fund Services business in Asia file their periodic declarations
  • Ensure the Fund Services risk assessment framework is maintained up-to-date
  • Implement and monitor the Financial Crime Prevention program that covers AML/CFT, Anti-Fraud, Anti-Bribery & Corruption, and market abuse/insider trading, including but not limited to reporting suspicious activities
  • Prepare reports for the respective committees in line with their defined mandates and terms of references
  • Represent compliance in internal committees and when required, liaise with external parties such as legal advisors, business partners, auditors, regulators and customers
  • Prepare and conduct compliance training for Fund Services staff

The Successful Applicant:

  • Minimum 8-10 Years of compliance experience from a bank or a financial institution
  • Strong regulatory compliance experience
  • Excellent understanding of regulatory expectations

Please reach out to Suhani Malhotra at smalhotra@strivex.sg for a confidential discussion.

Only shortlisted candidates will be responded to, therefore if you do not receive a response within 14 days please accept this as notification that you have not been shortlisted.

Referrals are appreciated.

EA Licence No : 23S2077

Registration No : R1770166

 

StriveX Pte Ltd, EA License No: 23S2077

Suhani Malhotra, Registration No: R1770166

smalhotra@strivex.sg

ABOUT COMPANY
Singapore
HR & Recruitment
StriveX is a boutique recruitment consultancy firm that believes in always connecting the right talent with the right businesses. Together, we don't j...
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