- Conduct Customer Due Diligence ("CDD") and/or Enhanced CDD assessments escalated from other departments and/or from on-going screening; and conduct transactions monitoring reviews on Anti Money Laundering ("AML") and Countering the Financing of Terrorism ("CFT"), focusing on retail clients.
- Ensure that review and investigation conclusions are adequately and properly documented, and escalated to Management (if required).
- Provide AML/CFT and business advisory to the various departments and be a subject matter expert on the interpretation of policies, procedures and regulations in relation to AML/CFT.
- Maintain, update and enhance the Company's AML/CFT policy, Enterprise-Wide Risk Assessment and procedural manual(s) as required, including the transaction monitoring plan to commensurate with the Company's business nature, size and level of complexity.
- Conduct compliance training to relevant staff including Representatives (where required).
- Identify compliance issues that require follow up and discuss emerging compliance issues with relevant departments.
- Assist the Head/Manager in investigations and deep-dive reviews when required.
- Assist in the completion of regulatory-driven and providers' Due Diligence questionnaires.
- Assist the Head in the periodic review and update of Enterprise-Wide Risk Assessment.
- Assists in the preparation and presentation of selected updates and/or reports to the Management.
- Assist in System UAT testing and to provide feedback on enhancements (where required).
- Stay updated with new relevant regulations and developments impacting the FA industry, including AML/CFT and sanctions laws.
- Undertake any tasks as assigned from time to time.
- At least a Bachelor's degree or above
- At least 3 years Compliance-related experience in financial services/insurance-related industry focused in AML/CFT areas
- Sound technical AML/CFT knowledge and skills, with hands-on experience
- Strong attention to detail
- Certified as an AML specialist with a recognised institution/association (e.g. ACAMS or ICA) will be a plus, but is not mandatory for the role
- Having prior financial advisory experience will be an added advantage
- Must be proficient in MS Office, Excel applications
- Uses initiatives to add value and increase efficiency
- Possess good communication (verbal and written) skills with a strong EQ
- An eye for details, has a strong analytical mind with good problem-solving skills
- Has a self-motivated personality and is able to work well in a team
- Adaptable to changes
- Self disciplined and motivated in a flexible hybrid work environment
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Senior Executive, Risk Management - Singapore - INFINITUM FINANCIAL ADVISORY PTE. LTD.
Description
Roles & ResponsibilitiesA self-directed team player in the Risk Management & Compliance department focusing on Compliance and Market Conduct areas in order to maintain a robust risk management and compliance framework within Infinitum Financial Advisory.
Infinitum Financial Advisory is a wholly-owned subsidiary of Income Insurance Limited, Singapore's top composite insurer, and is licensed and regulated by the Monetary Authority of Singapore (MAS).
Responsibilities:
Requirements:
Other competencies and traits:
Regulatory Risk Assessment
Due Diligence
Regulatory Compliance
Outsourcing
Anti Money Laundering
Governance
Risk Management
monitoring
Attentive
Compliance
Insurance Claims
Business Risk Assessment
Life Insurance
Accountability
AML
Financial Advisory
Screening
Insurance
Life insurances
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