Compliance Executive

Responsibilities

• Conduct employee-related compliance checks, including personal trading, gifts and entertainment, outside business activities, conflicts of interest, mandatory leave monitoring, employee due diligence and compliance training, etc.

• Perform periodic compliance reviews to assess compliance with Singapore financial regulations.

• Perform substantial shareholding monitoring and reporting.

• Coordinate with internal teams to prepare and submit regulatory surveys/filings/ notifications/reporting for the company, its representatives or funds to the Monetary Authority of Singapore.

• Monitor regulatory developments and assess the implications to the company.

• Assist with regulatory audits by internal and external auditors.

• Support compliance and operational initiatives and projects, including the use of AI tools.

• Candidates that demonstrate the required aptitude will be exposed to more regulatory compliance areas.

Requirements

• Degree in Accountancy, Business, Finance, Law or related disciplines, with particular interest in financial regulations.

• 1 to 2 years of experience in Compliance, Audit, or Risk Management in asset management or capital markets is preferred.

• Good problem-solving skills, especially in the use of AI to improve operational processes

• Self-motivated, well-organised, independent and able to multi-task.

• Good command of written and spoken English.