Regulatory Compliance Specialist (AVP)
Job details
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
- Minimum 8-10 Years of compliance experience from a bank or a financial institution
- Strong regulatory compliance experience
- Excellent understanding of regulatory expectations
Apply safely
To stay safe in your job search, information on common scams and to get free expert advice, we recommend that you visit SAFERjobs, a non-profit, joint industry and law enforcement organization working to combat job scams.
