Position | Compliance Manager, MLRO |
Regulatory Management & Policy Advisory |
Ensure all licensing renewals and regulatory obligations are timely and accurately met. Timely manage all Singapore regulatory changes, updates and obligations such as gap analysis, update policies and procedures, to ensure timely implementation and compliance, and perform an annual review of Singapore specific policies & procedures. Create ongoing risk awareness/education and training for staff, improve documentation in accordance with internal Guidelines on Documentation and Minutes. Timely submit concise Management Information Reporting to stakeholders (including detailed data tracking). Timely take actions, escalate issues and incidents to stakeholders for their attention and further actions. |
Risk Assessment & Mitigation |
As Compliance Manager and MLRO, fulfil AML/CFT role and responsibilities, ensure compliance with internal policies, procedures and guidelines, supporting with the onboarding of new relationships, ensuring periodic reviews, ad-hoc KYC reviews are timely completed, effective transaction monitoring reviews, comprehensive investigation and assessment, timely escalation/reporting with due actions taken on suspicious transactions/activities, incident reporting, exceptional handling applications. Enterprise Wide Risk Assessment - Support Singapore office with the annual review of ML/TF Risk Assessment Methodology, periodic EWRA exercise, analysis, risk treatment actions plans and narrative reporting to the Board and Senior Management. |
FATCA & CRS |
Ensure timely compliance of all FATCA and CRS requirements and obligations for all internal entities and client entities, provide advisory, ensure accurate classification and identification including self-certification of reportable accounts; registration as necessary; reporting of reportable accounts; sampling checks and rectification of deficiencies; and submission of concise progress updates to stakeholders on a regular basis. Conduct ongoing training and education to staff. Support the team with all FATCA & CRS related tasks in relation to the other ATG entities as required, including advisory and sample checks and the rectification of deficiencies. |
Compliance Monitoring & Thematic Reviews |
As a second line of defence function, perform sufficient compliance monitoring and thematic reviews, provide reports of observations, findings and recommendation. |
Regulatory, Audit Inspections and Deliverables |
Lead and manage all aspects of regulatory, audit and independent review related communications, requests, inspections, process and ensure all information is timely provided, accurate, complete and appropriate. Support the first line of defence, the Board Senior Management with all related deliverables including remedial actions, risk management actions and enhancement to control framework in a comprehensive manner and to stipulated deadlines. Closely and effectively track and monitor the progress of the abovementioned deliverables and provide timely reporting to stakeholders until the successful completion. |
Personal Data Protection |
As Data Protection Officer, ensure compliance with internal policies and procedural requirements, provide training to staff, undertake periodic compliance monitoring and reviews as the second line of defence and provide advisory on control procedures and enhancements. |
Projects & Miscellaneous |
Support the team and the Head of Group Compliance as required on ad-hoc projects and tasks. |
If interested, please contact serene.tan@lmarecruitment.asia
(EA Reg no: R1328685)
Company Reg No.: 201131609D, Licence No.: 11C4684
