Job Description

Perform duties of a compliance officer as required by local regulations:

• Make sure all regulatory compliance (e.g Securities Futures Act, Financial Advisers Act, SEBI) are adhered

• Review of AML, FATCA, SEBI requirements and other local regulations that affects the organisation and the funds it manages or as specified from time to time

• Update regularly to the board of directors

• Make sure Fund adhere with the marketing aspects, such as disclaimers, MAS Fund and Representative registration etc

• Update policies and procedures regularly or as and when there are amendments in the respective regulations.

• Where relevant, functions as the compliance officer of the Funds managed by the company and ensure that such funds are compliant in their respective jurisdictions (eg UCITs- Ireland) at all times

• Ensure minimum turn around time with regards to all new business initiatives

Act in accordance with the provisions of the Companies Act and report on corporate governance:

• Follow up with Corporate Secretary to make sure all Company Law requirements are fulfilled

• Obtaining approval from the board with regard to corporate governance

• Regular reporting to the board on the developments as part of corporate governance

• Produce the respective committee agenda and minutes on a regular basis or as may

• be required from time to time

Carry out all legal provisions as required for effective working of the regional offshore business:

• Examine and manage all legal issues (ie contracts, Offer documents adhoc agreements etc) pertaining to the offshore offices (ie SG, Dubai, Mauritius and in some cases India)

• Make sure the legal, regulatory and compliance risk for the company's business is kept at acceptable levels

• Seek the advice of external legal counsel on any legal issues or foreign regulatory laws that may arise regularly.

• Examine offer documents, fund structures, etc from a legal perspective.

To ease and co-ordinate compliance and legal related training programmes for employees on a regular basis:

• Conduct training / seminars to communicate compliance requirements and legal regulations

Internal and external Audit:

• Assist and address any audit findings and facilitate the compliance and adhere to regulatory processes and requirements