Compliance Manager ( Finance Broker/ 5 days/ Broking)

at  Trust Recruit Pte Ltd

JOB REQUIREMENT:

• Posses Bachelor in Banking and Finance
• Min 5 years of relevant working experience in banking/ broking
• ICA/CAMS or relevant certification
• Possession of a broad knowledge of business as well as familiarity with risk and compliance processes

• Execute, review and roll out relevant policies , procedures and processes to ensure compliance with SFA & FAA requirements.
• Ensure that the licensing requirements of the company and staff are aligned with regulatory standards, both for new employees and for potential new business ventures or products.
• Review and supervise adherence to AML/CFT legislation, policies , and procedures and conduct AML/CFT reviews and transaction monitoring
• Assist in conducting the annual AML/CFT enterprise risk assessment process and documenting controls to ensure risks are identified, mitigated, and policies are updated accordingly
• Conduct monitoring of market transactions and communications for surveillance purposes