Job role:

1.         Planning and executing compliance work plans (on a ‘risk-based’ approach) with the objective of monitoring and conducting tests periodically to ensure compliance with regulatory requirements of MAS and other offshore jurisdiction authorities as well as internal policies and procedures.

2.         Providing advice to senior management on regulatory requirements and internal controls and recommending measures to be taken to improve the standard of compliance and internal controls in the Company.

3.         Updating senior management regularly on changes to regulatory requirements and standards from time to time.

4.         Advising management on regulatory requirements for new products and new business initiatives and/or processes to ensure compliance with regulations and best industry practices.

5.         Acting as the Anti-Money Laundering Reporting Officer and dealing with STRO on suspicious transaction reporting to MAS and CAD.

6.         Liaising with MAS and other offshore authorities, external and internal auditors, consultants on all regulatory and audit matters and to recommend improvements to the risk management, internal controls and work processes of the Company.

7.         Shall act as Designated Compliance officer as per the regulatory requirements.

8.         On-boarding clients and review their KYC documents as well as periodic updates of existing clients

9.         Review of legal agreements and ensuring the delivery of various commitments as per those agreements

10.       Preparation and review of fund documentation such PPM, Constitution, Subscription Agreements etc.

11.       Registration of the funds in various jurisdiction for marketing purposes.

12.       Any other regulatory assignments as may arise from time to time.

• CS, CA, MBA/PGDM