In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Assist HOD in oversight of AML/CFT, Private Banking and regulatory compliance issues/ related matters (eg: Advisory, SFA tracker, RM Monitoring, vetting, approving marketing materials and product launch of funds)
Assist in review of the AML CFT Policy & preparation of various operational guidance documents.
Handle follow up on the implementation of recommendations by various departments from MAS Inspection, CRAFT, Independent Audit, Internal Audit pertaining to Private Banking business
Regulatory reporting (eg: Yearly FAA questionnaire, Survey on Asset Management Industry, MAS 756, Form 28 and others)
Maintenance of the Introducer/performing due diligence checks before onboarding Introducer(s)
Reviewing of PAC notes for Private Banking.
Assist in formulation of various compliance documents including but not limited to KYC CDD forms, Compliance manual, RM monitoring framework
Review of client onboarding and ongoing review documentation
Performance of Compliance testing on a timely basis
Follow-up with respective business group on outstanding Audit/Compliance testing issues in relation to Private Banking business activities for Singapore Branch
Preparing of reports monthly compliance report
To undertake projects and assignments from time to time as directed by the HOD (e.g.: CRAFT yearly audit, Independent Audit, KPMG, supervisory visits.)
Internal Number: 9839087
eFinancialCareers is a career site specializing in financial services.