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.