- May 13, 2022
My client, a well reputed investment management firm is looking to hire a compliance specialist for their regional compliance team.
Morgan Mckinley is working in partnership with a leading investment management firm to support their Singapore and Southeast Asia Compliance team. This role reports to the Chief Compliance Officer in Singapore.
- Reviewing proposed and new rules, regulations, and laws to determine applicability to the Company's business activities; advising on regulatory updates, control and compliance issues and providing practical solutions to resolve
- Assist in implementing compliance policies and
- Monitoring investment guidelines for accounts managed in Singapore, as prescribed by law and regulations, client agreements, trust deeds and internal policies and guidelines. Clearing pre-trade alerts and
- Interacting with staff in providing guidance and education regarding applicable policies and procedures. For more complex policies and procedures, assisting more senior compliance staff in their development and
- Implementing the compliance monitoring program in Singapore and conducting regular reviews of business activities for adherence to regulatory requirements, internal policies, and procedures. This will include reviewing institutional accounts' and retail funds' activities, sales practices, advertisements, and marketing
- Reviewing and resolving exceptions arising from the monitoring of client accounts, employee activities and other transactional
The Successful Applicant
As a successful applicant, you would have the following skills & qualifications:
- Degree in Accountancy, Banking, Finance, Law or related field
- 3-5 years of experience in Audit or Compliance in the asset management industry in Singapore
- Sound understanding / knowledge of the relevant laws, regulations, rules, codes and guidelines in Singapore
- Good interpersonal and communication skills
- Willingness to use initiative and ability to work both independently and in a team
Referrals are greatly appreciated.
Morgan McKinley Pte Ltd
EA Licence No: 11C5502
Registration No: R1770166
Registration Name: Suhani Malhotra
Only shortlisted candidates will be responded to, therefore if you do not receive a response within 14 days please accept this as a notification that you have not been shortlisted.