Compliance Manager, Investment Management Firm
My client is a leading asset management firm, and we are recruiting a Compliance person to be based in the Singapore office. You will be given the opportunity to support the business on a wide variety of regulatory compliance matters in the region and work closely with stakeholders in the market. We are looking for candidates who are looking to scale their careers in a leading name in the industry.
Responsibilities for this Compliance Manager, Investment Management Firm
- Support in all asset management compliance matters of the business
- Support in licensing, and be the main POC for liaising with regulators
- Support in trade surveillance, personal account dealing
- Review and update company compliance policy, procedures, and operations manuals
- Strong regulatory experience and well-versed with all compliance laws and notices
- Liaise with external stakeholders including clients, legal counsel, regulators, and auditors
- Support the AML and regulatory compliance matters
- Conduct compliance training on regulatory compliance, etc.
- Conduct communication surveillance, MNPI monitoring
- Support in various licensing matters
- Be well-versed in handling general risk and compliance matters
Requirements for this Compliance Manager, Investment Management Firm
- Relevant compliance experience in a buy-side firm or a financial service company
- Familiar with MAS regulations
- Independent and strong self-initiative.
- Strong engagement and influencing skills and team player
- An independently-minded person who thrives in a team-based environment
