Senior Compliance Manager

Key responsibilities

• Regulatory Compliance: Ensure full compliance with MAS regulations, including the Securities and Futures Act (SFA), AML/CFT requirements, and other relevant regulatory frameworks, including SEBI RA and FPI and CIMA Mutual Funds
• Policy & Framework Development: Maintain and enhance compliance manuals, policies, and procedures. Conduct regular reviews and updates in line with regulatory changes.
• Monitoring & Reporting: Implement and manage a robust compliance monitoring program. Prepare and submit regulatory filings, surveys, and reports to MAS and other relevant authorities.
• KYC/AML Oversight: Oversee client onboarding, due diligence, and ongoing monitoring processes. Manage the firm’s KYC, and AML/CFT frameworks.
• Internal Advisory: Provide compliance advisory support to business units and senior management. Conduct gap analyses on new regulations and advise on implementation.
• Training & Awareness: Conduct internal compliance training and promote a strong compliance culture across the organization.
• Audit & Liaison: Act as the primary liaison with MAS and external auditors. Manage internal and external compliance audits and inspections.
• Transaction Review: Support investment and fund activities by reviewing transactions and advising on compliance risks and mitigations. This Includes pre and post trade investment restrictions monitoring and substantial shareholding monitoring and reporting