• Manager, Ingenia Consultants (2018 – present)
  • Business Monitoring, Bank of Singapore (2016 – 2018)
  • Manager, Charles Schwab (2010 – 2016)
  • Account Manager, City Index Asia (2009 – 2010)
  • Sales Trader, Saxo Capital Markets (2006 – 2009)
  • Relationship Manager, Maybank Singapore (2004 – 2006)

  • Diploma in Capital Markets, Saxo University

  • Bachelor in Engineering, Nanyang Technological University
SENIOR MANAGER

Fadzlun Bin Jamalludin

Fadzlun is an experienced senior front and middle office professional with more than 14 years of experience in the Financial Industry. With an exceptional track record in leading change and innovation in business controls and requirements by both foreign and local regulators, such as FACTA, CRS, PDPA and AML notices

Fadzlun has extensive experience in regulatory compliance. He has assisted external asset managers, fund managers and crowdfunding service providers in their licensing. He has established compliance frameworks for these new financial institutions and enhanced frameworks of existing financial institutions to accommodate regulatory developments and changes in their business. He has drafted policies and procedures and created controls across regulatory topics such as corporate governance, anti-money laundering and countering the financing of terrorism, marketing and distribution, conduct, assessment of outsourced service providers, and the confirmation of accredited investors. In parallel, he is advising financial institutions on the regulatory requirements for their business and changes therein by assisting them in answering regulatory inquiries as well as the creation and implementation of suitable processes.

Fadzlun has experience in implementing digital solutions to compliance processes. He interacts frequently with RegTech providers to evaluate and enhance processes to achieve scale and simplify compliance tasks. He has experience with Robotic Process Automation to automate simple compliance surveillance and processes to elevate compliance officers to higher-level tasks.

Experience

Various crowdfunding platforms:

Advised on regulatory requirements and restrictions in marketing of securities

Various external asset managers:

Applying for and successfully obtained capital markets services licences for fund management restricted to accredited and institutional investors

Various Dealing in Capital Markets Licensees:

Advised on regulatory requirements, operationalizing compliance controls and reviewing of policies.

Numerous external asset managers:

Advising on the ongoing regulatory requirements, devised, developed, and administered effective compliance solutions

Numerous external asset managers:

Drafting and reviewing of compliance manuals, including anti-money laundering and counter the financing of terrorism programmes and enterprise-wide risk assessment frameworks, outsourcing frameworks, conflicts of interest management

Numerous external asset managers:

Review of client onboarding files as an outsourced compliance function

Numerous financial institutions:

Leading internal audits of financial business processes such as marketing, customer on-boarding and customer relationship management, investment management, business operations, human resources, outsourcing and more

Various Dealing in Capital Markets Licensees:

Implementing compliance solutions to CRS and FATCA requirements as well as compliance surveillance programmes