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In this role, you will be supporting the businesses and back office functions on a wide range of compliance matters. You will be expected to work closely with legal in the interpretation of laws and regulations and the putting in place of internal policies and controls to address or mitigate any legal or compliance risks that the company may face in its businesses and operations.
Provide regulatory compliance and AML/CFT advice to the wealth management business
Support the Head of Compliance in managing the company's compliance with the applicable laws and regulations as well as internal policies and procedures
Provide timely and quality advisory support on AML and sanctions related matters to wealth management business and other departments
Review Para 9 / 11 Fly-in Forms to ensure compliance with regulatory requirements
Review new products/services, new business initiatives and licensing requirements
Provide responsive, sound, coherent and consistent compliance advice, interpretation and recommendations on regulations, policies, products and business initiatives; clarify and resolve uncertainties in rules and regulations affecting business transactions and practices
Establish, review and update internal rules, policies and guidelines to meet best practice regulatory and industry standards
Liaise and resolve with regulators on any regulatory concerns, and co-ordinate regulatory inspections
Degree or professional qualification in accounting, business, law or related field
Minimum of five years' experience in compliance/audit in private banking/wealth management
Well-versed in the regulatory expectations in the sale and recommendation of financial products such as shares, bonds, funds and structured products to accredited investors
Knowledge of Securities and Futures Act, Financial Advisers Act, SGX requirements, banking and financial services laws and regulations, securities and futures practices, compliance best practices and understanding of financial products and systems
Good communication skills with the ability to clearly and diplomatically articulate issues, solutions and rationales.
High degree of judgement and good problem-solving skills; results-oriented to ensure sound implementation of control and compliance processes/procedures
If you have the above skills and experience and are ready to take the next step in your career, this could be the opportunity that you are looking for.
Apply today or drop me an email to learn more and start a conversation.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1659143 Gavin Izon
Internal Number: 6305539
About Robert Walters (Singapore) Pte Ltd, EA Licence No: 03C5451
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