- Work alongside & learn from best in class talent
- Opportunity to make a positive impact
- Be the center of excellence on all Client KYC/DDC and FMC compliance related matters
- Be trained to become an outstanding Compliance and Control Support Officer
We are hiring for one of the leading home-grown Boutique External Asset Managers. It is a specialist firm that offers not only traditional investment management services but additionally helps clients to manage the emotional impact their wealth has on their lives and we often take on the role of the family’s multi-generations’ financial therapist.
Role & Responsibilities :
- Assisting with the setting up, implementation & enforcement of the company's compliance, management, and administrative control systems.
- Preparing management & regulatory reports for BSM review and submission to relevant Authorities (e.g. MAS).
- Supporting front office team with customer service related and fund related control and compliance work.
- Deputizing all internal control, audit and operational compliance related matters of the BSM.
- Liaising with all relevant external and internal parties to perform operational control/compliance functions of the Company and with the guidance of COO/CEO to handle necessary regulatory and governmental requests.
- Keeping abreast and updated of all regulation and market related news that may/will impact the Company business and customer issues and keep Senior Management informed of potential impacts and proposed actions.
- Monitoring proactively all developments and best practices relating to AML/CFT and using this knowledge to suggest enhancements to the Company's internal AML/CFT programs to ensure compliance with local laws and regulations.
- Conducting the transaction monitoring reviews quarterly; the annual client due diligence reviews; the EWRA and any other non-investment client related compliance reviews.
- Supporting Senior Management to administer regulatory compliance processes (e.g. maintenance of required registers and due diligence on outsourced or third party providers etc) and assist in the reviewing and updating of compliance policies and procedures.
Key competencies :
- You have at least 3 years' experience including solid experience in a similar role within Financial Services.
- You possess excellent communication and business partnering skills and can collaborate effectively with multiple stakeholders.
- You exhibit strong attention to detail, are able to multi-task and deliver work that is of a high standard
- You possess strong analytical skills and are comfortable dealing with both numerical and non-numerical data
- You enjoy finding creative solutions to problems
- Financial Services.
- Problem Solving