Compliance Officer

Regulatory Compliance and Reporting

• Ensure ongoing adherence to the firm’s compliance policies, procedures and regulatory obligations.
• Maintain, review and update compliance manuals, policies and internal control frameworks as required.
• Prepare quarterly regulatory and compliance reports for management and the Board.
• Submit MAS returns, forms, questionnaires and regulatory surveys.
• Prepare and submit regulatory filings, including FAR, FATCA and CRS annual filings.
• Support annual ADV filings for SEC-registered investment adviser requirements.
• Stay up to date with changes to MAS, SEC, CIMA, OFAC, sanctions and other applicable regulatory guidelines.
• Create and manage effective action plans in response to identified compliance risks or regulatory developments.

• Attend Board meetings and prepare accu...