Legal & Compliance Officer - Singapore - KIMBERLEY CONSULTING PTE. LTD.

KIMBERLEY CONSULTING PTE. LTD.

Verified Company

Singapore

1 week ago

Posted by:

Wei Jie

beBee Recruiter

Description

The purpose of this job is to ensure the company compliance with applicable laws and regulations, liaising with MAS as required, ensuring legal and regulatory obligations of the Singapore business are met at all times, ensuring timely approval for initiatives of the company, adoption of best board practises & corporate governance standards and providing product support from a legal and regulatory perspective.

The role also acts as a Regional support on any legal and compliance obligations for the offshore offices of Mauritius, Dubai and India that may arise from time to time.

Head of Legal and Compliance for offshore unit is based in Singapore to support the Offshore Fund management and Advisory services to accredited and institutional clients.

He/she will work with the business development unit(s) in Dubai, Mauritius and parent company in India (in respect of new products, regulatory developments, client on-boarding, research inputs and reporting lines).

Execute duties of a compliance officer as required by local regulations:

Ensure all regulatory compliance (e.g Securities Futures Act, Financial Advisers Act, SEBI) are met
Compliance and review of Antimoney laundering, FATCA, SEBI requirements and other local regulations that affects the company and the funds it manages or as specified from time to time
Report periodically to the board of directors
Ensure Fund compliance with the marketing aspects, such as disclaimers, MAS Fund and Representative registration etc
Update policies and procedures periodically or as and when there are changes in the respective regulations.
Where applicable, acts as the compliance officer of the Funds managed by the company and ensure that such funds are compliant in their respective jurisdictions (eg UCITs
Ireland) at all times
Ensure minimum turn around time with respect to all new business initiatives

Comply with the provisions of the Companies Act and report on corporate governance:

Liaise with Corporate Secretary to ensure all Company Law requirements are fulfilled
Gaining approval from the board with regard to corporate governance
Periodical reporting to the board on the developments as part of corporate governance
Prepare the respective committee agenda and minutes on a periodic basis or as may be required from time to time

Execute all legal provisions as required for effective working of the regional offshore business:

Review and handle all legal issues (ie contracts, Offer documents adhoc agreements etc) pertaining to the offshore offices (ie SG, Dubai, Mauritius and in some cases India)
Ensuring legal, regulatory and compliance risk for the company's business is maintained at acceptable levels
Consult and discuss with external legal counsel on any legal issues or foreign regulatory laws that may arise from time to time.
Review offer documents, fund structures, etc from a legal perspective.

Facilitate and co-ordinate compliance and legal related training programmes for employees on a periodic basis: