POSITION PURPOSE:
The primary purpose of a Compliance Analyst is to support the APAC Compliance Team to ensure that the APAC operations of T. Rowe Price comply with relevant legislation and regulation. The role is based in Singapore with primary focus on Singapore regulatory matters but may also assists the APAC Compliance team to provide supports in the region, including Hong Kong, China and Australia.
Principal Responsibilities:
- Supporting the business conducted within the APAC region in remaining compliant with relevant laws and regulations. Act as a contact point for questions related to regulatory matters.
- Driving the identification, assessment and mitigation of compliance risks by designing, enhancing and advising on compliance program, internal controls and internal work process.
- Establish, review and enhance on the compliance frameworks/policies of the business activities and initiatives in the APAC region. Advising business to implement the compliance frameworks/policies.
- Assisting Compliance Managers with regulatory change projects.
- Building out and performing periodic monitoring/surveillance according to relevant regulations and internal policies.
- Liaising with MAS. Handling notifications and enquiries to/from regulators.
- Assists other team members when needed to support core compliance work, including but not limited to: -
- Providing advice on Code of Ethics matters
- Resolving breaches and incidents
- Providing Compliance training
- Complaints handling
- Compliance responses to client due diligence requests and RFPs
- Review of marketing materials
PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS:
- University graduate
- 3-5 years relevant compliance experience, preferably in the asset management industry
- Knowledge of relevant regulations in Singapore (and other jurisdictions in Asia is a plus)
- Ability to work under pressure and produce timely results independently
- Team player who is able to build working relationships and interact with a diverse group of internal and external contacts
- Good analytical skills and ability to make critical, time sensitive decisions
- Good command of spoken and written Chinese and English.
