Senior Compliance Officer

  • 150k
  • Singapore Singapore Singapore SG
  • Permanent, Full time
  • KS International , EA Licence No: 08C5498
  • 18 Sep 18 2018-09-18

We have an exciting opportunity for Senior Compliance Officer. This role requires a superbly presented, polished individual with excellent communication skills. The right candidate will directly work alongside the Legal, Operations, and Investment Teams, responsible for monitoring trades, regulatory disclosures and compliance, fund structure oversight, KYC coordination, corporate administration, and entity management, with opportunity to grow into advanced legal work over time.

  • Monitoring trades, making necessary regulatory disclosures, ensuring the relevant teams are aware of regulatory changes
  • Monitor compliance with laws, regulations, and policies
  • Working with banks, brokers, and business partners on KYC matters
  • Drafting board and shareholders’ resolutions for group entities
  • Ensuring all regulatory filings are made on time
  • Responsible for compliance programs and policies, e.g. MNPI and team Code of Conduct training
  • Oversight of the group fund structure
  • Managing legal & compliance documentation; implementing proper processes and ensuring proper record keeping
  • Working with General Counsel and operational teams on wider portfolio, including contracts, negotiations, transactions, and other legal work
  • Supporting the team in wide range of business management duties, from trading and finance operations to general project management

Requirements

  • International and regional experience
  • Legal training and experience
  • Experience working directly with Trading, Legal and/or Operations teams
  • Understanding of public capital markets
  • Experience with Order Management Systems is a plus
  • Passion for financial markets
  • Flexibility to work across time zones and business weeks
  • Good communication skills and be very well spoken
  • Polished and professional appearance
  • Ability to work at speed, and multi-task
  • Positive attitude, do more than just quietly sit at your desk, be an “energizer”
  • Meticulous attention to detail
  • Hunger to learn – you will be given the opportunity to do work far beyond the scope of a traditional compliance role