United Arab Emirates
Jonathan is an expert in crypto-finance, risk management, financial regulations, data analytics, computing of funnel logics, anti-financial crime controls and tools. He is admitted to the Singapore bar as an advocate and solicitor.
Management Duties - Design frameworks, establish strategies, policies, processes, procedures and draft operating manuals for a safe, compliant, risk managed, risk monitored, profitable, cost effective and sustainable digital assets exchange across all ranges of company activities including legal, finance, regulatory compliance, AML, market risk and surveillance, people management, internal governance, customer disputes, risk management, product management and remediations. Advisory Duties - Advise senior leadership and the Board of Directors on compliance matters, providing insights into potential risks and opportunities. - Monitor and interpret applicable laws, regulations, and industry standards to ensure the company's activities remain compliant. - Structure and draft risk managed roadmap for company growth. Operational and Execution Duties - attend to regulatory enforcements against the company, liaising with regulators from over 20 key jurisdictions - Manage cross-functional teams to implement product compliance and remediations. - Attend to litigation and dispute resolution. - Operate risk matrixes, registers, controls. - Execute marketing and promotion compliance e.g. review and advisory on PR communications and reverse solicitation frameworks and call to actions. - Attend to law enforcement requests (forensics & fraud), - Draft operating terms and conditions for, market contracts (orderbook), insurance fund, and product off exchange custody, liquidations and execution. - Configure computing logics and system alert trigger rules for risk systems such as customer behavior monitoring, sanctions screening, transactions monitoring and market surveillance. e.g. order book stuffing, passthrough, spoofing, open interests breaches. - AML/CFT, transactions monitoring, customer due diligence, KYB/KYC, STRs. - Instruct counsel, oversee and execute licensing applications, regulatory approvals and corporate structuring, while managing legal costs.
- Draft policies and operating procedures. - Respond to regulatory inquiries - Apply for licensing
Ingenia Consultants Pte Ltd is a leading consultancy for small to mid-sized financial institutions in Singapore covering the areas of regulatory compliance, internal audit, and technology risk management. - Conduct enterprise-wide risk assessments, transactions monitoring and client profile reviews for a variety of financial institutions. - Draft policies and procedures for a variety of financial institutions on risk management, corporate governance and AML/CFT. - Conduct internal audits on fund managers, trust companies and crowdfunding platforms. - Advise various financial institutions such as securities brokers, fund managers, and money lenders on regulatory and business conduct requirements, under legislation, regulations, notices, guidelines, circulars, and practice notes issued by the Monetary Authority of Singapore. - Draft policies and procedures for AML/KYC, technology risk management and security governance. - Attend and assist with procurement for licensing for fund management companies, securities brokers, and payment service providers.
- Conduct outsourced enterprise-wide risk assessments, regulatory filings, customer due diligence, AML screenings, transactions monitoring and STRs for a variety of financial institutions. - Draft policies and procedures for a variety of financial institutions on risk management, corporate governance and AML/CFT. - Conduct internal audits on fund managers, trust companies and crowdfunding platforms. - Advise various financial institutions such as securities brokers, fund managers, and money lenders on regulatory and business conduct requirements, under legislation, regulations, notices, guidelines, circulars, and practice notes issued by the Monetary Authority of Singapore. - Attend and assist with procurement for licensing for fund management companies and capital markets licensees.
- Conduct outsourced customer due diligence, onboarding and transactions monitoring of clients for external asset managers. - Advise and draft business plans and license applications for money lenders. Successfully obtained one of six pilot money lending licenses in Singapore for a client. - Advise fund managers on marketing and offering requirements under securities regulations. - Administer dispute resolution structures and drafted a credit default risk management framework for investment vehicles.
Brilliance Alpha Asset Management Pte Ltd is a Registered Fund Management Company with the Monetary Authority of Singapore serving private clients. - Provide strategic legal advice to senior leadership on a wide range of legal, regulatory, and compliance issues affecting the fund management industry. - Oversee and manage the legal department and external legal resources as needed. - Collaborate with internal teams to ensure that all fund operations, transactions, and contracts adhere to relevant laws, regulations, and industry standards. - Lead the negotiation, structuring, drafting, and review of legal agreements, including investment management agreements, portfolio management agreements, fund offerings, partnership agreements, and vendor contracts. - Conduct legal due diligence for new investment opportunities, partnerships, and acquisitions. - Design and deliver legal training programs to educate employees on legal and compliance matters. - Review and enhance the company's internal policies and procedures to ensure alignment with legal requirements and best practices. - Advise on corporate governance matters and support the Board of Directors on legal and regulatory issues.
Digifinex SG is a migration headquarters designed to undertake the infrastructure operations of Digifinex Global. - Establish frameworks policies and procedures, draft manuals and monitor processes for risk management, corporate governance, security governance, regulatory compliance to ensure a safe, compliant, risk managed and sustainable crypto currency exchange. - Monitor and interpret applicable laws, regulations, and industry standards to ensure the company's activities remain compliant. - Develop and execute a holistic risk management framework, policies, and procedures that cover various risk categories, including operational, financial, strategic, and compliance risks. - Collaborate with cross-functional teams to integrate compliance considerations into business processes, product development, and operational activities. - Oversee the risk assessment of third-party vendors and partners to ensure their risk profiles align with the company's risk tolerance. - Collaborate with internal and external auditors to facilitate risk assessments and audits as needed. - Conduct regular risk assessments to identify potential compliance vulnerabilities and provide guidance on risk mitigation strategies. - Configure and code computing logics and alert trigger rules rules for systems and applications on customer behavior monitoring, sanctions screening, transactions monitoring and market surveillance. - Prepare and submit regulatory filings and establish and maintain strong relationships with regulatory authorities, industry associations, and external partners. - Advise senior leadership and the Board of Directors on compliance matters, providing insights into potential risks and opportunities. - Lead investigations into potential compliance violations, including incidents of fraud, misconduct, or breaches of regulations, and recommend corrective actions. - Registered compliance officer for AUSTRAC , MAS and FinCen
Digifinex Global is a top ten derivatives digital assets exchange with a daily spot trade volume exceeding USD1.5bn worth of digital assets. - Attend to negotiations and contractual operations of partnerships, ventures, collaborations, and commercial matters. - Design and deliver compliance training programs to educate employees on relevant regulations, policies, and ethical standards. - Establish frameworks policies and procedures, draft manuals and monitor processes for risk management, corporate governance, security governance, regulatory compliance to ensure a safe, compliant, risk managed and sustainable crypto currency exchange. - Monitor and interpret applicable laws, regulations, and industry standards to ensure the company's activities remain compliant. - Configure and code computing logics and alert trigger rules rules for systems and applications on customer behavior monitoring, sanctions screening, transactions monitoring and market surveillance. - Prepare and submit regulatory filings and establish and maintain strong relationships with regulatory authorities, industry associations, and external partners. - Advise senior leadership and the Board of Directors on compliance matters, providing insights into potential risks and opportunities. - Lead investigations into potential compliance violations, including incidents of fraud, misconduct, or breaches of regulations, and recommend corrective actions. - Registered compliance officer for AUSTRAC , MAS and FinCen.