Compliance Manager
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Job Description
Compliance - Global Investment Management Firm
My client is a global investment management firm is seeking a Compliance Manager to join its Singapore office. The role will support the regional compliance framework, provide regulatory guidance to business stakeholders, and help ensure adherence to applicable regulatory requirements and internal policies across APAC.
Responsibilities for this Compliance - Global Investment Management role
- Provide day-to-day compliance advisory support to business and investment teams.
- Conduct compliance monitoring, testing and surveillance activities.
- Review marketing materials, client communications and distribution activities.
- Support regulatory filings, reporting and interactions with regulators.
- Assist with the enhancement of compliance policies, procedures and controls.
- Support AML/CFT, sanctions, conflicts of interest and conduct risk programmes.
- Deliver compliance training and promote a strong culture of compliance.
Requirements for this Compliance - Global Investment Management role
- 5-10 years of compliance experience within asset management, investment management, private banking or broader financial services.
- Exposure to fund management, ETFs, mutual funds or institutional investment products is preferred
- Strong understanding of MAS regulations and Singapore regulatory requirements.
- Experience in compliance advisory, monitoring and regulatory compliance.
- Knowledge of AML/CFT and financial crime compliance frameworks.
More Info
Key Skills
CFT
MAS regulations
Singapore regulatory requirements
conduct risk programmes
compliance policies
AML CFT sanctions
financial crime compliance frameworks
conflicts of interest
About Company
Skills:
Cross-jurisdiction regulation, MAS, Compliance, FCA, finra, Compliance certifications, compliance training, Insider information identification, External compliance coordination, Vendor DDQ responses, SFC, Sec, Client compliance meetings, Contracts agreements review, Selective disclosure, CFA, MNPI
Skills:
technology risk , compliance monitoring , Aml, Data Protection, CFT, Kyc, internal control frameworks, risk assessments, third-party outsourcing risk, Enterprise Risk Management, MAS regulatory requirements, Regulatory Reporting, control reviews
Skills:
Regulatory Submissions, Audits, Regulatory Engagement, Regulatory Compliance, Licensing
Skills:
AI tools usage, MAS Securities and Future Act, governance documentation, program management, financial crime compliance, blockchain technology, Regulatory Compliance, Regulatory Submissions, digital assets
Skills:
Microsoft Excel, Market Conduct Risk, Balanced Scorecard Framework, Project management, AI-enabled solutions, Regulatory Compliance