Compliance& Legal Executive
Reports to:Legal & Compliance Director
Job Summary
We are seeking a proactive and detail-oriented Compliance & Legal Executive to support compliance, governance and legal matters of the firm, a licensed fund management company (LFMC) in Singapore.
Key Responsibilities
- Assist the compliance officer with compliance with MAS regulations and internal policies.
- Assist the compliance officer with compliance with the laws and regulations relating to anti-money. laundering, countering the financing of terrorism and countering of proliferation financing (AML/CTF/CPF). (including doing customer due diligence and ongoing monitoring), and to FATCA and CRS.
- Assist in preparation of regulatory reports and filings.
- Track compliance deadlines, legal deal flow, and governance records.
- Maintain accurate records for audit and reporting purposes.
- Coordinate execution of documents and maintain proper compliance and legal filing systems.
- Stay updated on new MAS regulations applicable to LFMCs.
- Support meetings, including scheduling, preparation of materials, and taking minutes.
- Liaise with internal teams, external counsel, and vendors.
- Prepare, review, and manage certain legal documentation (e.g. NDAs and resolutions).
- Provide administrative support to the Legal function if and as required.
Requirements
- Degree in Law, Finance, or related discipline
- At least 5 years of experience in compliance roles in holder(s) of capital market service license(s) (and experience in a LFMC will be a strong advantage)
- Competent in AML/CTF/CPF compliance
- Familiar with MAS regulations for holder of capital market service license (and familiarity with those applicable to a LFMC will be a strong advantage)
- Strong organizational and communication skills
- Ability to work independently and as a team player
- Proficient in English and Mandarin, to review and coordinate legal and compliance documentation, and to liaise with Chinese-speaking stakeholders and external vendors
