· Salary Circa - $60000 per annum plus bonus.

The Company

The company stands out as a key player in the transportation industry, boasting a widespread network of offices across international territories. They are now in need of a Compliance Specialist to join their team. ...

Salary Circa - $60000 per annum plus bonus.

The Company

The company stands out as a key player in the transportation industry, boasting a widespread network of offices across international territories. They are now in need of a Compliance Specialist to join their team. ...

· Prominent Player

· Salary Circa - $60000 per annum plus bonus.

The Company ...

Compliance

Assist Compliance Manager to develop, implement and update (as and when required) policies and procedures that are aligned with JS&SL Level. Review documented processes for adequacy and effectiveness of controls and propose improvements to the Compliance Manager, where necessary.

Update and maintain repository of policies and procedures in the Company’s Policy Management System. ...

Ensure the hedge fund complies with all relevant regulatory requirements in Singapore and other jurisdictions.

Monitor and interpret regulatory developments, advising senior management on necessary actions.

Prepare and submit regulatory filings and reports. ...

Maintaining and executing the ongoing Compliance Monitoring Programme, which includes, amongst others.

trade surveillance by analysing trade data and via the use of SMARTS Broker trade surveillance tool.

monitoring of staff dealing activity and compliance with staff dealing policy. - monitoring of staff outside directorships, business interests and activities. ...

- Proven background in regulatory compliance scope within cryptocurrency and payments space

- Exceptional writing abilities for policy and procedure documentation

- Strong analytical skills to interpret regulatory guidelines ...

Generate compliance plans with joint efforts from cross functions to ensure it is managed in accordance with the BU’s objectives, and that best practices are embedded in the products and services.

Manage cross-functional partner relationship and create alignment for risk assessment and remediation plan.

Work closely with Compliance SMEs and local/regional MLROs to ensure controls are in place, testing is complete and the business can launch on time and in line with regulatory requirements. ...

1st July – 31st Dec 2024

Headcount :

1 ...

Ensure timely renewal of all necessary licenses.

Responsibilities:

Trade Compliance (Primary) ...

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Conduct third parties’ due diligence and enhanced due diligence of new and existing clients;

Investigate compliance of the third parties to international sanctions regimes; ...

Responsible for full spectrum of KYC & AML duties, including Due Diligence checks on new counterparties and periodic review on existing relationships

Conduct ongoing transaction monitoring and wallet screening

Work with various stakeholders including tech and traders to develop scalable tools to comply with AML/CTF and other standards ...

The employee in this position mainly be tasked to perform the following:

Execute based on internally developed methodologies, compliance risk assessments, gap assessments and compliance assurance on key regulatory requirements to identify any compliance gaps in business processes and workflows, and make recommendations for remediation measures.

Monitor the prompt submission of mandatory regulatory reports by various internal stakeholders. ...

No: R1873088

Report directly to Head of Trade Compliance (Based in US)

Handle Asia Pacific, except for China

Josbcope: ...

LocationMalaysia - Kuala Lumpur

The Compliance and Risk Management team ensures that Shopee complies with applicable regulations and is primed for success with the right checks and balances while safeguarding the interests of our stakeholders in an inclusive and sustainable digital ecosystem. The team manages potential risks to the company's operations and reputation through risk assessments, internal fraud control, employee training as well as the implementation of information technology policy and cyber security tools.

Job Description: ...

Maintaining and executing the ongoing Compliance Monitoring Programme, which includes, amongst others.

trade surveillance by analysing trade data and via the use of SMARTS Broker trade surveillance tool.

monitoring of staff dealing activity and compliance with staff dealing policy. - monitoring of staff outside directorships, business interests and activities. ...

The employee in this position mainly be tasked to perform the following:

Execute, based on internally developed methodologies, compliance risk assessments, gap assessments and compliance assurance on key regulatory requirements to identify any compliance gaps in business processes and workflows, and make recommendations for remediation measures.

Monitor the prompt submission of mandatory regulatory reports by various internal stakeholders. ...

To present regional audit plans and results of assessments to Management Audit Department, business domain / segment, parent companies in Japan.

To promote and penetrate Group Global Policies and Procedures (“GPPs”) on Anti-Bribery / Anti-Corruption, Anti-Trust / Competition Laws, and Export Controls / Strategic Trade Management, etc.

To support Group / Regional / Corporate policies & procedures enactment and revision process. ...

Min Degree or equivalent certification Open to regional travel at least 6 times per fiscal year At least 5-years experience in compliance activities (and possible internal audit) Experience of compliance promotion activities (Anti-bribery / Anti-Corruption, AntiTrust / Competition Laws, Export Controls / Strategic Trade Management)

Interested candidates do send in your resume to [HIDDEN TEXT] Attn: Wendy Khoo Hui Wen (R1761665) Recruit Express Pte Ltd (99C4599)

Conduct comprehensive research using internal and external resources to identify potential instances of suspicious activities and determine appropriate actions.

Collaborate closely with departments such as Compliance, Legal, and Risk to ensure alignment of AML-related activities with the company's broader compliance strategy.

Ensure adherence to the company's AML policy and customer risk assessment guidelines. ...

• Bachelor Degree’s in Business/Finance or equivalent

• Minimum 2 years of experience in private banking

• Knowledge and understanding of both the regulatory frameworks and products and services offered by the Private Bank ...

Quality review of documents related to Data Integrity (Audit trail review, data integrity risk assessment, ERES assessment, Data Mapping)

Support Internal audit, audit CAPAs follow-up (discussion of response) and management of open audit CAPAs (if required)

Support external inspections (logistics and backroom support) ...

Support Internal audit, audit CAPAs follow-up (discussion of response) and management of open audit CAPAs (if required)

Support external inspections (logistics and backroom support)

Support for other areas (Quality risk management, QMR tasks and regulatory submission) in terms of management of open tasks, revision/routing of documents ...

To perform regional audit assessments (full cycle) from preparation, onsite fieldwork, reporting and follow-up.

To present regional audit plans and results of assessments to Management Audit Department, business domain / segment, parent companies in Japan.

To promote and penetrate Group Global Policies and Procedures (“GPPs”) on Anti-Bribery / Anti-Corruption, Anti-Trust / Competition Laws, and Export Controls / Strategic Trade Management, etc. ...

Support external inspections (logistics and backroom support)

Support for other areas (Quality risk management, QMR tasks and regulatory submission) in terms of management of open tasks, revision/routing of documents

Event organization and/or other administrative tasks as assigned by Manager/Delegate. ...

Compliance Specialist

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To promote and sell Electrical & Electronics Safety & EMC/RF testing services business

To act as the key person to advice client on the product compliance requirements

To ensure that all customer enquiries are followed up and closed successfully with the ultimate goal of achieving monthly sales target/KPI set. ...

Escalate issues identified in the periodic review process and providing practical solutions to the businesses.

Keep abreast of changes to regulatory requirements for AML/CFT and communicate changes internally with a view to ensuring established policies, procedures and processes are compliant with new requirements.

Update and operationalize periodic review processes and workflows to ensure consistency amongst team members. ...