Compliance Officer - Tampines

As an Compliance Officer, you will be responsible for supporting the Compliance Department by handling matters relating to AML (Anti-Money Laundering) requirements for the firm.

Your role will involve performing detailed assessments, generating reports, and assisting with compliance-related administrative duties to ensure the smooth functioning of the department.

Responsibilities:

• Handle the clearance of hits identified during AML searches for clients, staff, representatives or third party service providers.
• Checking and assessing positive hits, ensuring compliance with regulations, and reporting your findings.
• Conduct of CDD/KYC checks, putting up of regular AML assessments and monitoring reports (inclusive of annual Enterprise Wide Risk Assessments)
• Generate and maintain regular compliance reports, ensuring they are accurate, complete, and timely.
• Maintain and organize all related documentation and records.
• Assist compliance team in the conduct of investigations, preparing investigation reports and obtaining relevant supporting documents / information necessary, and participating in compliance reviews.
• Work closely with senior compliance staff to identify areas of process improvement within the AML and compliance-related tasks.

Requirements:

• Diploma and above in Business Administration, Finance, Accounting, or a related field.
• Minimum 2 to 3 year and a above in compliance or administrative role. Familiarity with AML processes and regulations is a plus.
• Relevant Financial Advisory experience and hold a M5 qualification is a plus.
• Strong proficiency in Microsoft Excel, including data entry, analysis, and report generation.