Senior Compliance Officer (Investment Management)
Our client is a leading investment management firm with more than US$3 billion assets under management is looking to hire a dynamic and motivated Senior Compliance Officer reporting directly to the Head of Compliance for their Singapore office.
Key responsibilities:
· Assist in the monitoring of the investment and transactional activities of fund managers to ensure compliance with regulatory and client-mandated investment guidelines.
· Designing and implementing compliance policies and procedures, investment compliance, compliance advisory to different investment strategies.
· Liaising with local regulators such as MAS, SEC, SFC, new products approval and AML for funds.
· Advising and assisting the business with all licensing queries, requests and processes.
· Assist in monitoring for regulatory changes, analyzing their impact and communicating such changes to the management.
· Assist in dealing with regulatory inspections and internal/external audits, as well as any ad-hoc regulatory inquiries.
The ideal candidate should be degree qualified, with at least 7-10 years of relevant experience in buyside compliance in Singapore. Good experience in trade surveillance, managed regulators across jurisdictions and strong market awareness would be highly desirable. Able to work independently in a fast-paced and dynamic environment and be able to communicate effectively in both English and Mandarin.
We invite suitably qualified candidates to apply but regret only shortlisted candidates would be notified.
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