Senior Associate/AVP - Compliance

at  Lighthouse Canton Pte Ltd

KNOWLEDGE

• Well versed in Regulatory Environment and Laws (e.g., Securities and Futures Act, MAS guidelines, DFSA rules, etc).
• Experience in Regulatory Compliance and Implementation, AML/CFT, Risk Management, and/or Audit in financial services industry.
• Experience in performing KYC and due diligence for client on-boardings, vendor/service provider engagements in Financial Services Industry.
• Experience in process review and quality improvements.

SKILLS

• Proactive, meticulous, and attention to details.
• Ability to work independently.
• Good attitude with strong organizational and time management skills.
• Passionate, reliable and with high standards of integrity.
• Strong analytical and problem-solving skills.
• Team oriented, and ability to lead projects and assignments.
• Strong communication and facilitation skills.
• Ability to work/deal with regulators, internal and external stakeholders.
• Process and result orientated, and ability to stay firm on Risk and Compliance decisions.

JOB PURPOSE

The incumbent in this role will be responsible for performing due diligence when on-boarding and performing periodic reviews on the Wealth Clients of Lighthouse Canton in a timely and disciplined manner.

The incumbent will also assist the Chief Compliance Officer (CCO) in:

• Performing transaction monitoring and funds flow analysis of the clients.
• Performing periodic reviews of the firm’s vendors and service providers.
• Regulatory Compliance and AML/CFT reporting.
• Conducing training, providing advice and assurance to various Business Functions with regards to Compliance matters.