Compliance Officer (4-month contract) recruitment

Objective / Summary of Responsibilities

To assist Head of Compliance in carrying out the compliance function on an interim basis and the provision of compliance monitoring services to the business undertaken by the Singapore office. A hands on role with wide range of Compliance activities including planning, executing and overseeing major areas of the compliance function.
 

Key Purpose and Responsibilities of Job

  1. Perform pre and post-trade compliance reviews against portfolio investment restrictions using the Bloomberg Compliance system and supporting tools/reports
  2. Vetting of marketing materials and publications
  3. Providing advice on compliance/regulatory issues
  4. Coding of rules in the Bloomberg Compliance system
  5. Critical evaluation and review of the regulated business activities, internal control systems and operational procedures
  6. Perform regular reviews based on Compliance Monitoring Program, identification of Compliance Risks and on-going development of compliance monitoring programmes including AML and KYC
  7. Assist in establishing and developing appropriate and effective internal compliance policies and procedures on any new regulatory requirement and business activities or products and conduct Compliance briefings and staff training
  8. Act as back up for Head of Compliance, where required and assist in liaising and dealing with relevant regulatory authorities and auditors
  9. Handle other compliance duties and ad-hoc investigation and projects as assigned

Job Specification

Qualification, Skills Experience

Language

The candidate should possess;

The candidate is expected to work with little supervision, be highly organized, a good team player with the ability to manage multiple tasks and meet tight deadlines.