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Last active 2 years ago
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Job description for Chief Compliance Officer - Asia at Kristal.AI
About Us
Kristal.AI is a global, digital-first private wealth platform providing comprehensive and no-frills wealth management solutions for the entire spectrum ranging from sophisticated high net worth individuals to first-time investors.
Powered by an unparalleled combination of advanced algorithms and investment professionals, we focus on providing personalized products and unbiased advice. We have the finest minds of the fintech industry as part of our leadership team and have been recognized by several forums to be at the forefront of the fintech industry. We offer our team-members strong prospects for learning, growth and career development while offering a culture of camaraderie and ownership.
Key Responsibilities
- Responsible for compliance framework - develop and implement the Compliance programs, policies and operations across all different locations
- Lead and manage the Compliance team.
- Maintain an open communication channel with relevant regulators
- Stay abreast on all relevant regulatory changes in jurisdictions that the business currently operates in
- Monitor and identify regulatory development, including enforcement actions, new laws, regulations, rule and interpretations or guidance relating to the business of the firm
- Draft, review and revise compliance-related policies and procedures from time to time to ensure compliance with applicable AML and regulatory requirements
- Enhance and maintain a high standard AML compliance monitoring, AML compliance review and investigation, e.g. suspicious transactions and random check etc
- Liaise with business, internal key stakeholders, operations and external auditors on AML compliance issues
- Identify potential compliance risk and actively advise management to implement proper compliance policy to address any potential regulatory problems
- Provide prompt reporting to senior management of all breaches or potential breaches of applicable regulatory requirements and any significant changes to applicable regulatory requirements in the relevant business jurisdictions
Skills Required
- A Degree in law, finance, business, accounting or related disciplines
- Min 10 years of experience in either retail wealth management, brokerage, or fintech industry with first-hand working experience in compliance-related matters
- Good understanding of compliance requirements for business involving retail clients
- Understanding of new age businesses - tokenisation space and crypto
- Good writing and communication skills
- Strong attention to detail and deliver work that is of high standard
- Strong analytical mind to review regulatory documents
- Business focussed, open-minded and eager to take up new innovative business matters
- Self-driven, hands-on and motivated