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Job Description
My client is an online securities brokerage headquartered in Hong Kong, with businesses across Hong Kong, Singapore, China, and New Zealand. They are now looking for a compliance manager based in Singapore to support the daily operations and internal policies under the updated regulatory environment.
Candidates are required to have minimum 4 to 6 compliance experience gained in financial institutions, preferably in securities brokerages or FinTech companies. This opportunity offers attractive package and fast-growing platform to further develop your compliance knowledge and skills.
Job Responsibilities:
- Provide compliance advice on rules and regulations relating to the capital market product dealing, financial adviser and fund management businesses and internal policy and procedures requirements;
- Perform onboarding of new clients in accordance with relevant KYC/AML regulatory requirements;
- Perform periodic review of transactions and investigation with respect to potential trading malpractices identified;
- Perform ongoing AML/CFT review and monitoring on client accounts including transaction monitoring, name screening, ECDD etc;
- Keep abreast of development in regulatory requirements to ensure adherence to new and existing requirements. This may include updating policies and procedures and providing regulatory updates to Business;
- Assist in any ad-hoc matters and projects as assigned by the Management;
Job Requirements:
- Bachelor’s Degree, preferably business, finance or laws related;
- 4 to 6 years of compliance experience in financial institutions preferably fintech company;
- Possess sound knowledge and/or working experience in MAS regulations, SFA, FAA, transaction monitoring, AML/KYC and funds/discretionary investment management;
- Proactive, objective and possess an aptitude of risks and controls;
- Attention to details and possess an enquiring mind;
- Good verbal and communication skills in English and Mandarin;
- Good at reading and writing in Chinese;
For interested parties, please contact Winifred by w.tsang@hamlynwilliams.com for a confidential chat.