Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 50 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients. POSITION
We seek a Compliance Analyst to join our APAC Compliance team. Based in Singapore, the Compliance Analyst will report to the Compliance Officer in Singapore and focus mainly on ensuring that we have effective regulatory compliance arrangements for our business in Singapore and Australia.
The Compliance Analyst will: •
Work closely with the Compliance Officer in Singapore to ensure that processes, systems and controls are in place to comply with the applicable regulatory requirements in Singapore and Australia. •
Complete regular/ad hoc regulatory filings and surveys to the relevant regulatory bodies in Singapore and Australia. •
Handle MAS licensing requirements including individual and corporate licence applications and timely notifications. •
Review KYC and onboarding documents including managing the AML/CFT program. •
Keep abreast of market trends and regulatory developments relevant to the business in Singapore and Australia. •
Maintain local policies and procedures to ensure that they reflect applicable local regulatory requirements. •
Assist with regulatory risk assessment, conduct local compliance monitoring to supplement the regional and global program, and follow up on any internal control reviews conducted by third parties. •
Deliver compliance training. •
Provide compliance advice to the business on local compliance policies and procedures. •
Assume other compliance responsibilities as a member of the APAC Compliance team as the needs arise.
At least 5 years of relevant compliance experience, ideally gained within the asset management industry. •
Good working knowledge and interest in the financial markets. •
Good knowledge of MAS requirements applicable to a CMS (fund management) licence holder. •
Self-motivated, enthusiastic and intellectually curious, and has the ability to work independently as well as in a team environment. •
Strong communication and interpersonal skills. •
Inquisitive mindset and good analytical and problem-solving skills. Comfortable with data. •
Good organizational skills and administration skills with the ability to manage assignments with competing priorities. •
Ability to learn quickly and respond to unique challenges. JOB TITLE
Compliance Analyst JOB FAMILY
As an equal opportunity employer, Wellington Management considers all qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMCANINQ@wellington.com .