Compliance Officer

Job description

The Compliance Officer is responsible for overseeing and managing compliance matters across ZICO Capital and ZICO Asset Management, advises Senior Management/Board on possible risks and informs on material violations, reviews the policies and procedures of the company, ensures that the company is in compliance with regulatory requirements and the employees are in adherence with internal policies and procedures.

Responsibilities

Compliance Related

• Designated as a Compliance Officer, Anti-Money Laundering Officer and Data Protection Officer of the company.
• Act as main liaising contact person with the regulators (such as Monetary Authority of Singapore and SGX).
• Act independently to investigate on matters related to compliance.
• Assist in coordinating the required information/materials during regulatory-related audits.
• Ensure that the company's appointed representatives understand regulatory landscape and adhere strictly to the regulatory guidelines (including fulfilling the continuing professional development requirements).
• Implement effective internal controls and risk assessments to manage/mitigate potential risks exposure.
• Remind front office/client-facing staff to perform periodic Client Due Diligence/Know your Client reviews on a timely manner.
• Submit regulatory filing/survey and management reporting within the stipulated timeline.

Documentation Related

• Maintain various registers of the company for record purposes, such as: Audit Issues and implementation, Complaints, Employee Declaration/Disclosure, Employee Gifts and Entertainment, Employee Training Hours, Employee Personal Dealing/Interest in Securities, Outsourcing Arrangements, Representatives, STR Filing, Trade Errors.
• Review policies and procedures of the company to ensure that these are updated regularly to comply with regulatory requirements.
• Vet through agreements with 3rd parties service providers (when invited) on compliance aspect.

Corporate Finance

• Maintaining appropriate checklists for corporate finance transactions.
• New client take-on procedures, including undertaking conflict checks and desktop-based searches as well as gathering the necessary documentation in accordance with anti-money-laundering policies.
• Reviewing transaction files of the Corporate Finance team prior to submission to the SGX.

HR Related

• Arrange new hire orientation concerning compliance issues
• Conduct refresher training to keep staff abreast of existing and new guideline (including those issued by the regulators as well as the DOs and DONTs).
• Ensure that staff clear their block/core leave, complete their minimum required training hours, apply for a representative license to conduct regulated activities (or cease the license when the representative resigns from the company).

Qualifications

• A degree in business, banking and finance or a related subject.
• 5-10 years of extensive work experience within the industry or related field.
• Possess notable skills in change management, people management and presentation
• Experienced communicator (both verbal and written) in working with all levels of staff
• Good decision-making and problem-solving skills to resolve issues within reasonable timeline