Overview
Compliance Associate Jobs in Singapore, Singapore at GORDIAN CAPITAL SINGAPORE PRIVATE LIMITED
We are currently looking to hire a new headcount in the Compliance team to support the Compliance Manager.
** Responsibilities**:
– Provide support on general compliance matters including review of personal account dealing, outside business interests and other compliance declarations
– Keep abreast of relevant MAS/SEC rules and regulations as well as industry developments
– Assist in review of the firm’s policies and procedures and best practice standards
– Assist in conducting compliance monitoring and testing against regulatory requirements, company policies and procedures etc.
– Provide support on compliance matters in relation to all funds/managed accounts of the firm
– Conduct KYC onboarding and periodic reviews on the firm’s customers and ensuring ongoing compliance with the provision of the relevant AML/CFT regulations
– Review trading and portfolio management activities where relevant
– Conduct due diligence on the firm’s service providers and counter parties
– Prepare, provide and submit various compliance related reports/questionnaires to internal and external stakeholders
– Manage the firm’s compliance e-learning platform
– Manage the annual routine compliance audits by external auditors and any regulatory inspections
– Assist in other ad-hoc projects as necessary
** Minimum Requirements**:
– At least 2 years of relevant working experience
– Previous exposure in a finance company a plus
– Advanced MS Office skills
– Good verbal and written
communication skills
– Ability to multi-task
– Detail-oriented, organized and meticulous
–
Strong work ethic
and professional habits
– Takes initiative and able to work independently with mÃnimal supervision
– Works well in a small team and is a good team player
– Working hours are from Mon – Fri 8 am to 6 pm
Title: Compliance Associate
Company: GORDIAN CAPITAL SINGAPORE PRIVATE LIMITED
Location: Singapore, Singapore
Category: Law/Legal, Finance & Banking
