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- Compliance oversight of the CDD and client screening function, such as ensuring CDD processes meet policy standards, handling escalations and working with the Chief Regulatory Officer and CEO to manage risk.
- Maintain CTX’s regulatory and compliance documents which include CTX’s KYC and AML , Trading and Listing rules, Conflict of Interest and other policies & procedures and ensure they are up-to-date and comply with MAS and CTX requirements.
- Executing processes to review new and existing account documentation for completeness and validity.
- Ensure ongoing processes and controls is complete and accurate recordkeeping of all documentation and relevant communications with internal stakeholders and clients.
- Advise on, and escalate, higher risk relationships and reputation risks arising from CDD and customer screening.
- Report to senior management/executives on a periodic basis.
- Partner with functional experts (i.e. Legal, Business, etc) to develop procedures, processes and controls.
- Provide full support on all regulatory and compliance matters, including periodic reporting to the Monetary Authority of Singapore and filing STR where appropriate.
- Bachelor’s degree or above in law, finance, business management or a related field.
- More than 5 years of working experience at a financial institution is preferred.
- Solid knowledge and understanding of regulatory requirements relating to CDD/AML.
- Relevant experience in AML/CDD and/or client onboarding, from crypto, banking and/or financial services sector with an understanding of different client types.
- Experience with implementing CDD programs and/or customer screening programs and designing CDD procedures.
- Excellent verbal, presentation and written communication skills. Fluency in both Chinese and English is required.
- Proactive and solutions-driven.
- High level of integrity and professionalism, with high attention to detail.
- Strong organizational skills and time-management skills.
- Ability to prioritise competing demands.
- Result-focused, detailed-oriented, diligent and a collaborative team member.