AVP, Compliance Officer

Position Overview:Work with the Head of Compliance to assist in 1) establishing the compliance programme, aligned with the enterprise risk management framework, and focused on the identification, assessment, and management of compliance risks, and 2) providing day-to-day compliance advisory support to business and other departments. Compliance independently monitors compliance risks and regularly reports on programme health to SBIDM stakeholders.Principal Duties and Responsibilities include (but are not limited to): Ensure implementation of SBIDM policies, procedures, and processes to confirm compliance with the Securities and Futures Act (“SFA”) and other applicable laws and regulations.Provide regulatory advisory to the business and ad-hoc projectsWork closely with the business and operations teams to identify compliance risks, help the business to develop controls designed to mitigate risks and put into place a self-testing and reporting regime Conduct outsourcing and third-party risk assessments to ensure compliance the regulatory requirements.Conduct regulatory gap analysis and work with the relevant business owners to identify and implement action points.Conduct compliance testing to ensure controls are functioning effectively, as intended, and in compliance with all regulatory requirements, specific licence obligations, and internal practices.Ensure licencing requirements of the company, representatives, and (where necessary) products are met.Conduct testing on transaction monitoring to comply with AML regulationsConduct compliance trainings to ensure staff awareness of regulatory requirements and company policies.Assist in any ad-hoc compliance/risk related projects and system enhancements, as assigned.Qualifications & Skills: Degree holder in any discipline with at least 5 years of relevant working experience in capital markets and payments. Familiar with rules and regulations applicable to CMSL Familiarly with digital assets and distributed ledger technology a plus.Possession of a broad knowledge of business, products, and operations of the financial services industry; familiarity with risk and compliance processes as they pertain to the SFA and FAACharacteristics and Expectations:Takes initiative to build the company from a start-up status, with a demonstrable ability to adapt to and embrace change.Disciplined in goal orientation.A good communicator, both written and verbal. Fluency in English required. Familiarity with Japanese would be beneficial.Demonstrates alignment with SBIDM’s values through expected behaviours.Exhibits a high level of integrity, taking accountability for their work.Strong team player, with accountability over personal and team deliverables.Professional and socially engaging.