Job Description

Regulatory Compliance Specialist (AVP)Excellent opportunity to join a well-reputed international financial institution. The role sits within their fund services team to support the compliance function. This is a sole contributor role and this individual will have the chance to progress into a Head of Compliance role.Overall role is to act as the Compliance Associate Vice President - Fund Services, covering Asia, particularly ensuring compliance with applicable laws and regulations in Singapore and Hong.Job Responsibilities:

• Assist with collating licensing related documentation as well as review licensing / exemption related documents/forms
• Participate in discussions with relevant regulators
• Act as point of contact for regulators\xe2\x80\x99 queries on Fund Services operations and licence applications
• Handle internal and external audits
• Submit regulatory reports on a timely basis
• Maintain, monitor and update local laws and regulations
• Ensure all licensed representatives of the Fund Services business in Asia file their periodic declarations
• Ensure the Fund Services risk assessment framework is maintained up-to-date
• Implement and monitor the Financial Crime Prevention program that covers AML/CFT, Anti-Fraud, Anti-Bribery & Corruption, and market abuse/insider trading, including but not limited to reporting suspicious activities
• Prepare reports for the respective committees in line with their defined mandates and terms of references
• Represent compliance in internal committees and when required, liaise with external parties such as legal advisors, business partners, auditors, regulators and customers
• Prepare and conduct compliance training for Fund Services staff

The Successful Applicant:

• Minimum 8-10 Years of compliance experience from a bank or a financial institution
• Strong regulatory compliance experience
• Excellent understanding of regulatory expectations

Please reach out to Suhani Malhotra at smalhotra@strivex.sg for a confidential discussion.Only shortlisted candidates will be responded to, therefore if you do not receive a response within 14 days please accept this as notification that you have not been shortlisted.Referrals are appreciated.EA Licence No : 23S2077Registration No : R1770166StriveX Pte Ltd, EA License No: 23S2077Suhani Malhotra, Registration No: R1770166smalhotra@strivex.sg

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