Compliance Officer

Advertised on : 17 Jun 2019 | Closing date : 15 Sep 2019

  Job Reference : 49347

Compliance officer/manager- Investment Management Company


-Develop written Company Compliance Program, policies, procedures and internal controls in accordance with the protocol or compliance elements provided by head office.

- On-going monitoring of all policies, procedures and internal controls to ensure they are functioning properly and complied with.

- Review and update the inventory of applicable laws and industry regulations at least annually.

- Prepare and conduct Compliance Risk Assessment and identify high risk areas to be prioritized based on the results.

- For any new lines of business/expansion into a new jurisdiction, assess associated compliance risks and develop a risk mitigation plan and incorporate action plan into the Compliance Program.

- Work on PDPA and GDPR project with professional firm. Implement in the company and monitor periodically.

- Work with professional firm preparing AML policies and checklist for implementation.

- Obtain information about AML, Anti-bribery/Corruption covering FCPA and other bribery and corruption topics and conduct briefing for all directors and employees.

- Review and update/amend other existing policies such as Business Continuity Plan and others

- Periodic reporting to Global Compliance Team

- Ensure staff compliance awareness. Prepare training notes for the staff and conduct training/briefing. Current staff strenght about 15.

- Other duties and adhoc assignment assigned by the Company

- Report to Company MD and also Office of Global Compliance in Japan head office

- Advise Investment Team/SHIP department on AML steps required in policy and review the checklist and supporting documents.


Budget: Up to 5.5k/month(flexible) + AWS +Bonus(1-1.5 Mth)


Functional Areas : Banking and Financial Services;Legal & Compliance
Type of Employment : Permanent
Minimum Experience : 0
Work Location : Singapore

If you encounter difficulties, please click here for technical assistance.

This site is best viewed in 1024x768 , Microsoft Internet Explorer version 8 or above and Firefox version 3.5 or above