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A Wealth Management Company. The company is a new start-up to be licensed as a CMS service provider with exempt financial advisor status, principally focusing on Japanese clients, looking to grow in the region with a hub in Hong Kong and Tokyo.
* Work closely with front office, investors and 3rd party service providers to ensure trades are accurate, NAV reports and positions are all reconciled
* Analyzing material sources of operational risk
* Reporting to the Finance Manager and working closely with the Managing Director, your responsibilities include:
* Perform investors related matters like KYC, due diligence, on boarding and performance reports
* Review the regulatory documents like PPM, compliance manual, and risk management
* Responsible for maintenance, compliance and reporting of regulatory capital returns in compliance with MAS
* Maintain proper accounting record and review financial pack prepared by fund administrator
At least 5 years of compliance duties in Singapore in a business of dealing in and advising on capital markets products to high net worth individual clients (Accredited Investors only).
* Working knowledge fund management and securities laws, regulations, directives and expectations
* Knowledge of the financial instruments and investment compliance risks and processes
* Strong communication and engagement skills, with an ability to deal with potentially contentious issues effectively
* Proficient in Microsoft Office including PowerPoint, excel and word
* Self-motivated, confident, and out-going and enthusiastic in nature