Compliance Associate, Corporate Finance

Our client is a growing regional Professional Services Group and enjoys market leading positions in several markets. As part of their growth plans in Singapore, they are adding to their compliance team. You will be part of a small team that supports the group in compliance advisory and monitoring and more specifically, you will be supporting the Corporate Finance practice. The Corporate Finance arm of the Group originates and executes M&As, equity capital markets fund raising and other corporate advisory mandates.

Reporting to the Group Head of Compliance, the key responsibilities include the following:-

• Providing advice and guidance on a day to day basis on regulatory and legal issues, seeking external advice where appropriate and under the guidance of the Group Head of Compliance.
• Liaising with Group Head of Compliance for various compliance projects. This will involve interacting with business heads of group companies and other relevant persons, as required.
• Undertaking risk based and rule based compliance monitoring.
• Liaising with regulators (MAS and SGX), where necessary.
• Drafting and maintaining policy and procedure manuals under the guidance of the Group Head of Compliance.
• Assist in maintaining appropriate templates for standard agreements and required checklists; advice the business on issues in respect of proposed amendments to these standard agreements on a case by case basis with the assistance of the Legal Department where appropriate.
• Identifying relevant legal and regulatory change, assess impact and participate in implementing any required changes to internal policies and procedures.
• Assisting the Corporate Finance team with the new client procedure including gathering sufficient money laundering documentation in accordance with the AML policy.
• Work with the Corporate Finance team to ensure compliance with the relevant exchange requirements; review any responses to queries raised by the Singapore Exchange.
• Recording of all new employees, ensuring that a compliance induction is given and the personal shareholding information plus a signed undertaking is received.
• Recording minutes of internal committees.
• Review of transaction files of the Corporate Finance team.
• Responsible for the licensing and de-licensing of employees with the relevant regulator. This also involves liaising with service providers to ensure that employment checks are received before an employee is registered.
• Undertaking conflict checks and desktop based searches for new clients and transactions.
• Maintaining the internal registers.

Requirements

Qualification/Experience:

• University degree preferably in Law/Finance/Accounting or related qualification
• At least 2 years of relevant experience. Those with an understanding of corporate finance will have an advantage

Competencies:

• Excellent attention to detail and good literacy skills.
• Proven initiative and self-management record are essential.
• A high level of integrity and an understanding of the importance of confidentiality requirements.
• Must be able to evaluate and solve problems - an ability to think laterally.
• The ability to negotiate and collaborate with others, initiate action, adapt to change, make difficult decisions and accept challenging assignments is essential.
• Must be proactive in identifying potential concerns and following-up to resolve such issues.

We encourage interested qualified candidates to email an updated resume in word doc format to enquiry@targetpartners.com.sg indicating current and expected compensation.

We regret that only shortlisted candidates will be notified.

[Joe Chua, R1105627]