Description

• Ensure prompt and effective communication of regulatory requirements, licensing matters, upcoming regulatory changes including changes to regulatory investment restrictions, group and local compliance policies to management, business heads and staff.
• Support the evaluation of the potential commercial and/or operational impact resulting from specific regulatory changes or legislations which affects business compliance arrangements, procedures, processes and awareness.
• Keep abreast of regulatory developments in Singapore, including gathering and providing feedback on public consultation papers to the Monetary Authority of Singapore.
• Lead communications with regulators and assist in responding to the day-to-day requests from external and internal auditors on regulatory/ compliance matters.
• Maintain local compliance manuals which are in line with Group policies as well as international best practices and relevant regulatory requirements.
• Review legal agreements from compliance's perspective.
• Conduct in-house training for staff e.g. induction, staff personal dealing, licensing, regulatory requirements etc.

• Handle and liaise with staff and regulator on licensing matters
• Monitor compliance of licensing conditions for aAL and its subsidiaries
• Monitor regulatory compliance for Korea entity

• Provide advisory, monitoring and oversight on Personal Account Dealing and Conflicts of Interest, including Outside Business/ Employment

• Review of marketing materials to ensure compliance with regulatory requirements, including due diligence and RFPs
• Provide advisory on cross border activities to business and guidance to APAC Compliance Teams

• Support compliance reporting to senior management, headquarters etc

• Perform regulatory filing
• Assist with compliance related due diligence requests from clients and internal stakeholders

• Work with the Monitoring & Oversight team to complete reviews and tests on regulatory hotspots

• Provide support to the Head of Compliance - Singapore
• Provide guidance and mentorship to junior team members

• Work on special projects as and when assigned
• Provide compliance support for other regions beyond Singapore (as the regional hub) where required
• Cover other team members when other team members are out of office