Regulatory Analyst recruitment
Our client is a leading global investment adviser with offices around the world, managing multi-million assets on behalf of a wide range of clients. An opportunity has emerged for a Regulatory Analyst to support the head of compliance in Singapore with general business and regulatory compliance matters for the Singapore and Hong Kong offices.
The primary responsibilities include managing regulatory filings, maintenance of licenses and other regulatory requirements, review and provide guidance on marketing materials, perform regular compliance monitoring including staff trading and firm-wide compliance policies, provide compliance training and managing internal and external audits.
The successful candidate will be familiar with the regulatory requirements in Singapore and the broader Asia region and has an interest in working for an investment manager in a fast-paced environment. You will be a strong communicator with a diverse background, and preferably educated or worked overseas previously. The ideal candidate will have an excellent attitude and be a keen learner to pick up new work. This is a rare opportunity to join a highly-regarded name in the investment management industry, and be part of a dynamic, constantly-evolving global firm.
Main Responsibilities:
- Assist Head of Compliance with all aspects of the firm's compliance program.
- Provide regulatory support such as managing licensing, reporting and conduct requirements.
- Perform compliance reviews of the firm's marketing materials, product-related documents and client correspondence.
- Conduct compliance monitoring and testing against local regulatory requirements, industry best practice and company policies and procedures.
- Perform AML and sanctions checking.
- Manage audits and regulatory reviews.
Qualifications:
- At least 3 to 5 years working experience in compliance and/or audit in financial services with in-depth exposure to asset management.
- Degree qualified in either a finance/accounting/law discipline.
- Strong communication skills including bilingual skills in English and Chinese (spoken and written preferable).
- Confident, self-motivated, resourceful and able to take initiative and work autonomously.
Interested parties please send your applications in confidence to Theresa Pang at theresapang@aquissearch.com