Compliance Officer/Senior Compliance Officer

Key Duties & Responsibilities

• Provide technical and regulatory support on compliance issues and familiar with the regulatory requirements for a Licensed Fund Management Company in Singapore.
• Perform pre-trade and post-trade investment compliance monitoring to ensure regulatory, client specified or internally established investment restrictions for mandates are complied with.  
• Perform regular compliance monitoring and testing to ensure business operations comply with regulatory and internal requirements.
• Conduct KYC and ensure compliance with anti-money laundering and combating terrorist financing policies.
• Review sales and marketing materials on a variety of products in accordance with regulatory standards including cross-border rules.
• Handle licensing and continuous professional training matters for licensed representatives.
• Handle regular and ad-hoc regulatory reporting, survey submissions, enquiries, and investigations from the regulator.
• Review and update the Compliance Manual and Company policies pursuant to the latest regulatory requirements.
• Conduct internal compliance trainings. 

Requirements and Qualifications

• Bachelor’s Degree in Law, Accounting, Finance, or equivalent discipline.
• 3 years of compliance experience in asset management or relevant fields.
• Strong analytical skills, problem solving ability and attention to detail.
• Good communication and interpersonal skills.
• Good command of written and spoken English and Chinese.
• Positive team player, able to work independently and under pressure.