Compliance Officer

Company: NA

Industry:

Location: Singapore

Salary: Attractive

Job Profile:

• To coordinate  regulatory and compliance risk assessment process under the To advise on new or changes to regulations affecting the businesses, including providing briefing on such regulatory updates where appropriate.
• To act as central liaison for regulatory relationships e.g. ad-hoc regulatory reporting, coordinating inspections by regulators, reporting of regulatory breaches.
• To advise on external communications that are subject to regulatory requirements e.g. marketing materials, advertisements and product disclosures.
• To advise on licensing requirements for staff conducting regulated activities, including monitoring of ongoing obligations of representatives e.g. training and disclosures.
• To advise on personal investments by staff, and coordinate semi-annual compliance certification for personal trades.
• To monitor and report on misconduct of licenced representatives
• To collaborate with Group Compliance on implementation of Group initiatives
• To provide monthly management reporting on key compliance issues e.g. outstanding licensing applications, regulatory breaches, major regulatory dealings, etc.
• To coordinate compliance with US regulations arising from fund managed

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