Seeking mature candidate to manage in-house Compliance requirements, including AML/CFT, for licensed Fund Management Company serving Accredited/Institutional Investors. Ideal applicant will be fluent in written and spoken English (professional level) and exhibit strong leadership and interpersonal skills, with the ability to influence, drive and manage professional relationships.
Key Responsibilities
- Oversight of both local and offshore Compliance in relation to (1) the Company, (2) the managed funds and (3) relevant trading markets
- Coordination and preparation of documents/reports for regulatory reporting, surveys and due diligence (both ways)
- Liaise with regulatory authorities and external service providers on compliance-related matters
- Devise, implement, monitor and assess internal compliance policies, procedures and processes to meet regulatory requirements relating to all applicable jurisdictions, including but not limited to requirements on licensing, governance, AML/CFT, Sanctions, risk monitoring and assessment etc
- Provide regulatory advice relating to applicable law, regulations and guidelines, including responding to regulatory changes
- Assist with drafting and updating of fund documentation such as Information Memorandums, Subscription Agreements etc
- Assist in preparing reports and responses to investors and prospects
- Provide compliance support for external communications, fund marketing and distribution, company publicity, internal and external audit etc.
Experience & Skillsets
- Degree in law, business or compliance-related disciplines
- Mature candidate with at least 3-5 years’ relevant experience in financial services legal and/or compliance
- Preference given to work experience with funds, regulatory audit experience and exposure to the mutual fund regulatory framework in the Cayman Islands
- Extensive knowledge of regulations relating to fund management under the Singapore Securities and Futures Act, including AML/CFT, FATCA/CRS and Sanctions
- Business-centric approach to compliance
- High integrity and professional work ethic; able to work with independence, initiative and self-discipline
- Strong application of Microsoft Office Suite, in particular Outlook, Word, Excel and PowerPoint
- Excellent EQ and communication skills, both verbal and written
- Solutions-focused with keen analytical and problem-solving skills
- Able to multi-task and prioritise work to meet deadlines
