Compliance Officer

Designation - Compliance Officer

Experience - 2-3 Years

Key Responsibilities:

• Facilitate KYC review as part of the onboarding process.
• Steer client periodic reviews and ad hoc reviews warranted by trigger events.
• Ensure all suspicious activities escalated to Compliance are promptly investigated, handled in a timely and appropriate manner and handling the Suspicious Transaction Reporting if required.
• Conduct AML transaction monitoring on a timely basis.
• Handle client screening monitoring on a daily basis and if necessary, escalate to the Relationship Manager and Head of Compliance for further handling.
• Maintain oversight on the tracking of outstanding client documents and escalate to the Head of Compliance for accounts with deficient documents past the stipulated tracking time frame.
• Partake in remediation exercises.
• Adjusting to and keeping abreast with the latest compliance policies and processes.
• Assist in adhoc Compliance reviews, testing or other regulatory-driven projects.
• Administer Compliance training for the Company which includes annual refreshers on key Compliance subject matters and Anti-Money Laundering. Induction session is also conducted for new joiners on the above topics.

Required knowledge, skills and abilities:

• The ideal candidate must have at least 2 -3 years AML/KYC experience with a Fund Management company, Asset Management Company, private bank or audit background. You will also be able to demonstrate:
• An inquisitive and analytical mind with the ability to proactively identify and analyse problems, and propose viable solutions;
• The ability to work to deadlines whilst maintaining a high degree of accuracy and quality; handle multiple tasks and prioritise effectively;
• A keen attention to detail as well as an ability to view the bigger picture;
• Good understanding of SEBI & MAS Notice SFA 04N01 and Guidelines, reputation and regulatory risks; and
• Excellent communication skills to liaise with all stakeholders.