Your new company
An agency-model execution services arm of a Global Financial Group, provide brokerage services to clients in over 65 markets around the world.
Your new role
What you'll need to succeed
- Reviewing and analysing due diligence information on new and existing clients to meet all regulatory requirements.
- Liaise with front office and clients on account opening-related and KYC queries.
- Review any suspicious activities or transactions arising from rolling review of client accounts.
- Daily review of SMARTS monitoring alerts to identify and escalate unusual transaction or activities
- Assist in regulatory enquiries and request for client information or investigation of client account activities.
- Complete other transaction monitoring reports as needed (large transaction, married trades, error trades, sample checks).
- Monitor licensed representatives’ compliance with regulatory requirements (fit and proper, CPD, etc).
- Preparation of license applications for new licensed representatives, if any.
- Routine reporting to MAS and SGX as required.
- Routine reporting to affiliates as required.
- Assign and ensure staff training has been completed.
- Liaise with outsourced vendors on bi-annual basis to complete outsourcing due diligence.
- Assist with co-ordination of annual BCP testing.
- Other ad hoc general compliance duties as required.
What you need to do now
- Minimum a Bachelor Degree in Finance, Accounting or Business at an accredited University
- Minimum 6 years of work experience in Compliance role (particularly in AML / KYC client on boarding and transaction monitoring) in a bank or financial services company.
- Knowledge of Singapore AML/CFT laws and regulations.
- Good communication skills.
- Problem solving mindset.
- Good team player, proactive and able to adapt quickly.
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV to firstname.lastname@example.org. If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.
Registration No: R1986473
EA License No: 07C3924
Company Registration No: 200609504D #1226326