My client, a global brokerage is seeking a financial crime SME that will manage the team and the end to end financial crime function which includes KYC, surveillance, screening and sanctions.  

The Role:
In Singapore, this firm is regulated by MAS as a Capital Markets Service Licensee, an Exempt Financial Adviser and a Major Payment Institution, and by MinLaw as a registered dealer of precious stones and metals. The firm is also a trading member of SGX-DT and a clearing member of SGX-DC. This expansion role will manage financial crime compliance risks by ensuring adherence to laws and regulations, updating policies and procedures to comply with regulatory changes, advising businesses and senior management, managing audits and inquiries, and supervising trade surveillance and compliance testing.
 
Primary duties will include:

• Provide financial crime compliance (FCC) advice and guidance to business units and senior management
• Update policies, procedures and controls to meet regulatory requirements on AML, CFT, sanctions, anti-bribery & corruption
• Supervise screening, transaction monitoring, enhanced CDD, management reporting and trade surveillance
• Monitor high-risk transactions and customer activities through a risk-based approach, and investigate potential suspicious transactions with filing of STRs
• Perform enterprise-wide AML/CFT/Sanctions risk assessment and ensure effective measures are in place to identify, assess and mitigate risks
• Assist in audits, investigations and responding to queries from regulators and exchanges
• Participate in strategic projects to upgrade digital platforms

 
This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
 
To land this role you will need:

• Minimum 7 years of experience in financial crime compliance in financial services or regulatory environment
• Work experience in audit firms, banks, brokerages or financial services firms
• Knowledge of MAS regulations, FATF standards and best practices

 
What makes you stand out:

• Attention to detail, pro-active, hands-on approach to problem solving
• Agile mindset, collaborative and trustworthy team player
• Familiarity with compliance and surveillance systems is advantageous

 
Education / Certification Requirements:

• University Degree in accounting, business, finance, law or related fields
• Professional certification in financial crime compliance is advantageous

 
Working environment:

• Hybrid (1-day WFH)
• Regular knowledge-sharing meetings and mentoring sessions
• No Travel Requirements

For more information please reach out to tim.bloxham@trevosepartners.com