- Singapore Remote
- Salary: R50 000.00 - R70 000.00 Per Month
- Job Type: Permanent
- Sectors: Investment Finance
- Reference: 2221043
Vacancy Details
Employer: TallRock Capital
- Regulatory Compliance:
- Ensure compliance with all relevant MAS regulations, particularly the Financial Advisers Act (FAA) and related regulatory frameworks.
- Keep the firm updated on new and existing regulatory developments, advising management on necessary changes.
- Prepare and submit regulatory reports to MAS in a timely manner.
- Liaise with regulators and maintain positive relationships with regulatory bodies.
- Policy Development and Implementation:
- Develop, implement, and review internal compliance policies and procedures in line with local regulations and industry best practices.
- Conduct regular risk assessments and ensure the firm's policies mitigate regulatory, operational, and financial risks.
- Monitoring and Auditing:
- Conduct regular internal audits and reviews to ensure adherence to regulatory and company policies.
- Identify and investigate any breaches or potential issues, reporting findings to senior management.
- Monitor ongoing compliance with Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) requirements.
- Advisory and Training:
- Provide compliance advice to the management and staff on regulatory matters, including advice on complex issues.
- Train staff on compliance procedures, regulatory changes, and promote a culture of compliance within the organization.
- Serve as the main point of contact for internal and external compliance inquiries.
- Record Keeping and Documentation:
- Maintain accurate and up-to-date records of compliance activities and regulatory submissions.
- Oversee the company's documentation and ensure the firm retains necessary records for regulatory reviews.
We are seeking a diligent and experienced Compliance Officer to ensure that our financial advisory firm complies with all relevant regulations, guidelines, and internal policies. The successful candidate will play a critical role in maintaining our firm's adherence to regulatory standards, including those set by the Monetary Authority of Singapore (MAS), and mitigating potential risks. The Compliance Officer will work closely with senior management and various departments to promote a strong compliance culture within the organization.
Key Responsibilities:
Required Skills
- Bachelors Degree In Law, Finance, Business Administration Or Related Field
- Compliance Role Within Financial Services Or Advisory Industry: 3 to 4 years
- Familiar With AML And Relevant Financial Compliance Frameworks: 3 to 4 years
Candidate Requirements
- Bachelor’s degree in law, finance, business administration, or a related field.
- At least 3-5 years of experience in a compliance role within the financial services or advisory industry.
- Familiarity with AML and other relevant financial compliance frameworks.
- Excellent analytical, problem-solving, and communication skills.
- Strong attention to detail, ability to work independently, and manage multiple tasks in a fast-paced environment.
- Professional certifications such as ICA (International Compliance Association) or CAMS (Certified Anti-Money Laundering Specialist).
- Experience in implementing compliance management systems.
Requirements:
Preferred Qualifications:
Each application should be accompanied by a 3 minute video and cover these topics:
1.) Why are you interested in this position?
2.) What do you know about the company?
3.) What is your ideal work environment?
4.) What are your strengths?
5.) Where do you see yourself in 5 years?
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