Regulatory Compliance Manager recruitment
POSITION DESCRIPTION:
This position is to support the head of compliance in Singapore with general business and regulatory compliance matters for the Singapore, Hong Kong and Australia 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.
This position is suitable for a candidate who is familiar with the regulatory requirements in Singapore and the broader Asia region and has an interest in working for an investment manager in a dynamic environment.
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.
- Perform administrative duties including maintaining an effective documentation and filing system.
QUALIFICATIONS:
- At least 3 to 5 years working experience in compliance and/or audit in financial services with primarily 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.
- Ability to work under pressure with good organisation and time management skills
For further information please call Komal on +65-6323 5124. To apply please send your updated resume to komal@ksconsulting.com.sg.
Please note that only shortlisted candidates will be contacted