Compliance Senior Executive/ Assistant Manager

This is an additional headcount for the Group Compliance function. The successful job candidate will report to the Group Compliance Director and be part of the Group Compliance function that covers the various businesses under Finova Group.

MAIN JOB RESPONSIBILITIES

• Reviewing client onboarding documents and periodic Know-Your-Customer reviews (“PKR”) before obtaining the necessary Compliance/Senior Management approvals;
• Working independently with the relevant business stakeholders to resolve any client due diligence (“CDD”) deficiencies;
• Keeping track of key risk metrics for risk management and governance purposes (for e.g. pending/expiring CDD items, upcoming PKRs, screening alerts);
• Providing basic compliance-related guidance to the various businesses under Finova Group;
• Maintaining proper records for Compliance function (for e.g. taking meeting minutes, archiving key reference materials/documents); and
• Supporting the Risk Management Committee secretariat and assisting with other ad hoc duties for the Compliance function.

QUALIFICATION & SKILLS REQUIRED

• Bachelor’s degree in Business, Finance, Accounting or Law preferred.
• Other qualifications such as (i) Certified Anti-Money Laundering Specialist (“CAMS”) certification; or (ii) Compliance certification from Institute of Banking and Finance (“IBF”) or Wealth Management Institute (“WMI”) will be useful.
• At least 3 – 5 years of relevant experience in Compliance function.
• Candidates with strong prior experience in law, tax/audit, regulatory supervision or corporate services will also be considered.
• Strong understanding of anti-money laundering, countering proliferation financing and countering the financing of terrorism (“AML/CPF/CFT”) regulatory requirements, risk typologies, risk mitigating controls and CDD requirements is important for this role.
• Knowledge of Accounting and Corporate Regulatory Authority (“ACRA”) legislation (especially on Corporate Service Providers Act/Regulations) will be useful.
• Able to write well and communicate effectively at different working levels;
• Able to manage deadlines/priorities sensibly;
• Detail oriented and meticulous in follow ups;
• Work independently with minimal supervision (when required); and
• Collaborate well with other team members /stakeholders.