Job Title: Compliance Executive
Working Location: Central Business District
Reporting Line: Head of Compliance
Boutique financial institution servicing high-net worth individuals, seeking for a compliance specialist to support the head of compliance on end to end compliance responsibilities; candidates with KYC/SOW experience would be able to contribute and gain training in other compliance functions
- Review accounts against company policies for Client Due Diligence and Periodic Reviews
- Check on the quality of the Source of Wealth and prepare good SOW documentation to required standards.
- Conduct other Due Diligence requirements such as adverse media findings, Sanctions link, Tax red flags etc., consult with the Relationship Manager and escalate as appropriated
- During periodic review, check if required documentation is kept up to date
- To contribute in key compliance responsibilities inclusive of regulatory advisory, new client compliance review, periodic review, and FATCA/CRS reporting
- To liaise with various departments as well as to observe compliance with the company's internal policies and procedures.
- To participate in and monitor training and tests provided, pursuant to its regulatory obligations to train and test its employees and to demonstrate competency in the topics tested.
- Anything else reasonably required by the company in its compliance with obligations under the applicable regulatory and legal systems, in the maintenance of the company's licences, and in achieving a high standard of corporate governance.
- Solid knowledge and understanding of regulatory requirements relating to CDD/AML and internal procedures.
- Minimum 3+ years relevant experience in AML/KYC and/or client onboarding, from banking and/or financial services sector with a focus on private banking clients
- Compliance knowledge applicable to the Financial Services industry, including relevant professional certification I.e. ACAMS and ICA Certificate will be an advantage.
- Excellent verbal, presentation and written communication skills.
- Able to multitask and have a macro view of the industry
- High level of integrity and professionalism; with attention to details
If you are up for the challenge and believe you have the motivation and skills to excel in the role, please send in your updated resume to email@example.com
All shortlisted candidates will be notified
*For confidential discussion on active opportunities in the Market within compliance function or find out more about this role - please reach out directly to Janice at 6597 5174
EA Registration Number: R1871479
Argyll Scott Singapore Pte Ltd. EA Licence Number: 16S8105