合规官
Compliance officer
**职位描述**
iCapital 正在寻找一名合规专员加入其全球监管与合规团队，工作地点在新加坡。该职位将协助开展公司层面及投资工具的各种公司治理和监管活动。成功入选者将与位于新加坡、香港和东京的亚太区监管与合规团队的资深成员合作，发挥关键作用，支持 iCapital 在亚太地区的快速增长业务。
iCapital 通过多个不同的国际实体运营，其中许多实体已获得开展受监管活动的许可。在亚太地区，公司拥有新加坡、香港和澳大利亚的金融服务牌照。成功候选人将与业务团队合作，确保我们的亚太办公室在法规的字面意义和精神上合规运营。
**职责**
- 支持制定合规策略，以支持公司在亚太地区的可持续增长。
- 监测监管动态，并向高级管理层和同事提供清晰、实用的建议。
- 协助公司的亚太受监管实体及相关投资工具的监管申报、公司治理和记录保存要求。
- 开发并提供合规培训，并维护适当的培训记录。
- 开发并执行基于风险的合规监控和测试，并支持发现问题的整改。
- 就许可问题、反洗钱/了解你的客户（AML/KYC）、员工合规、跨境分销及其他影响业务的监管事项提供建议。
- 与高级管理层、同事、监管机构和外部利益相关者紧密合作，识别并缓解公司及其客户的监管和合规风险。
- 改进合规流程和控制措施，包括通过负责任地使用人工智能和其他技术。
- 在公司内部担任“合规知识中心”，作为高级管理层的可信顾问，必要时就合规主题提供指导和培训。
**任职要求**
- 至少五年在金融服务业的合规、监管事务、业务控制、审计、会计、运营或合规咨询领域的工作经验。
- 具有协作精神，积极主动，适应性强，能够在快节奏的环境中处理多项优先任务。
- 熟悉适用于资本市场服务许可证持有者的马来西亚证券委员会（MAS）相关要求，包括证券交易等
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**About the Role**
iCapital is seeking a Compliance Officer to join its Global Regulatory and Compliance Team, based in Singapore. This role will assist with a variety of corporate governance and regulatory activities both at the firm level and for investment vehicles. The successful hire will work together with experienced members from the APAC Regulatory and Compliance Team based in Singapore, Hong Kong and Tokyo to play a key role in supporting iCapital’s fast growing business in APAC.
iCapital operates through a number of different international entities, many of which are licensed to conduct regulated activities. In APAC, the firm holds financial services licenses in Singapore, Hong Kong and Australia. The successful candidate will partner with the business teams to ensure that our APAC offices are operating within the letter and the spirit of the regulations.
**Responsibilities**
- Support the development of the compliance strategy to support the firm’s sustainable growth across APAC.
- Monitor regulatory developments and provide clear, practical advice to senior management and colleagues.
- Support regulatory filings, corporate governance and recordkeeping requirements for the firm’s APAC regulated entities and relevant investment vehicles.
- Develop and deliver compliance training and maintain appropriate training records.
- Develop and undertake risk-based compliance monitoring and testing, and support the remediation of identified issues.
- Provide advice on licensing issues, AML/KYC, staff compliance, cross-border distribution and other regulatory matters affecting the business.
- Work closely with senior management, colleagues, regulators and external stakeholders to identify and mitigate regulatory and compliance risks for the firm and its clients.
- Improve compliance processes and controls, including through the responsible use of AI and other technology.
- Act as “Compliance Knowledge Center” within the firm and trusted advisor to senior management, providing guidance and training on compliance topics if needed.
**Qualifications**
- At least five years of experience in compliance, regulatory affairs, business controls, audit, accountancy, operations or compliance consulting within financial services.
- Collaborative, proactive and an adaptable team player, able to manage competing priorities in a fast-paced environment.
- Sound knowledge of MAS requirements applicable to capital markets services licence holders, including dealing in securities and funds management.
- Practical Singapore compliance experience, including regulatory filings, AML/KYC, compliance monitoring and personal compliance.
- Experience developing and delivering compliance training.
- Knowledge of private markets, investment funds or fund distribution would be advantageous.
- Knowledge of the regulatory environment in Hong Kong, Japan and Australia, including cross-border requirements, would be advantageous.
- Articulate communicator with excellent written and spoken English, sound judgement and strong attention to detail.
- Collaborative, proactive and adaptable team player, able to manage competing priorities in a fast-paced environment.
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.