Compliance Officer/Senior Counsel recruitment
The Senior Counsel/Compliance Officer will have responsibility, along with the Chief Compliance Officer, for ensuring compliance with the MAS regulatory regime and any other regulatory regime to which CA Asia is subject. The Senior Counsel/Compliance Officer will also be responsible for, along with the General Counsel, for contract and other legal matters in the Singapore office, as well as assisting the Firm’s Beijing and Sydney offices.
Responsibilities
- Provide compliance training for Singapore staff in the form of seminars and materials
- Ensure compliance with, among other things,
- Anti-money laundering regulations
- Personal account reporting requirements
- The Firm’s policies and procedures
- Testing of the Firm’s policies and procedures
- Draft client contracts and review RFPs
- Review and amending of the Firm’s compliance manual and other relevant documents
- Monitor the Firm’s investment related service providers
- Responsible for regulatory reports, corporate deadlines, and general corporate governance (including record maintenance of corporate documents)
- Assist the Finance Department and KPMG with annual audit preparation
Qualifications
- LL.B or equivalent
- Minimum 3 years’ experience in monitoring/ensuring compliance with the regulatory framework governing Capital Market Services Licensees in Singapore
- Ability to research and learn new legal areas quickly
- Proven ability to work both independently and in a team, within a high pressure environment
- Excellent communication skills, both oral and written, and expertise in building strong interpersonal relationships
- Meticulous business acumen and a strong sense of urgency
- Good judgment, leadership skills and delivery-oriented attitude
August 15, 2012
• Tags: Compliance Officer, Operations careers in the Singapore, Senior Counsel recruitment • Posted in: Financial