Natixis Investment Managers ( 1.2 billion AUM1) is a multi-affiliate organisation that offers a single point of access to more than 20 specialised investment firms in the Americas, Europe and Asia. The firm ranks among the world's largest asset managers.2 The company is dedicated to providing innovative ideas on asset allocation and risk management that can help institutions, advisors and individuals address a range of modern market challenges.
Our multi-affiliate approach connects you to the independent thinking and focused expertise of more than 15 active managers. Ranked among the world's largest asset managers,1 we deliver a diverse range of solutions across asset classes, styles, and vehicles. We're dedicated to advancing sustainable finance and developing innovative ESG products. We consult and partner with our clients, and continually evaluate markets and assumptions to ensure their strategy delivers on long-term goals.
Position Summary:
This position is Compliance Trainee with the key role to support the Singapore Compliance team in providing compliance oversight to the distribution and investment management activities in Singapore under Natixis Investment Managers International.
The position will have the following key accountabilities:
- Assist Singapore Compliance team on day-to-day compliance tasks including but not limited to
- review marketing materials (particularly materials approved by affiliate compliance) to ensure internal and regulatory requirements are met.
- conduct sanctions screening checks using Refinitiv for prospects, new clients, ongoing checks on existing clients, investee companies, brokers and employees.
- assist in following up with sales on AML / KYC documents of new clients onboarded.
- conduct customer risk assessment and enhanced due diligence on new and existing clients.
- assist to maintain internal list of AML clients and ensure the records are up-to-date in system (e.g. CRM).
- conduct investment compliance monitoring via Charles River system.
- conduct quarterly, semi-annual and annual testing as required by the Singapore Compliance team.
- Code of Ethics administration (e.g. review gift and entertainment, personal trading transaction, outside employment etc.).
- submission of surveys and handling of regulatory enquiries etc. from local regulators and ensure proper documentation of correspondences.
- obtain completed Employee onboarding booklet from new joiners / HR.
- assist in onboarding process of new joiners (welcome pack compliance manual, code of ethics, securities register, declaration, certification, training etc.) and annual declaration of staff (e.g. Fit and Proper).
- follow up and ensure recording keeping for monthly reports received from affiliates to ensure compliance with cross-border requirements.
- assist with monthly compliance attestation for respective ILPs (Insurance Linked Policies).
- coordinate and prepare documentation and forms for application of exemption in other jurisdictions like Brunei for Sales and affiliates.
- assist in preparation of reports to Holding Company, Boards and Regional Compliance, Risk and Internal Control Committee.
- co-ordinate with business units including HR, Legal, Finance & Operations, Information Technology, Risk Management, etc. to address compliance matters.
- Fulfil additional/ad hoc duties as required to meet the needs of business.
This position will report to the Head of Compliance, Natixis Investment Managers Singapore Limited.
Qualifications:
Compliance Trainee should have the following qualifications:
- University degree or above;
- Strong organizational skills
- Ability to respect deadlines and work efficiently under pressure
- Teamwork oriented, good communication skill, multi-task player, self-motivated and proactive work style are required.
- Proficiency in spoken and written English.
- Excel and PowerPoint skills for presentations.
Training
- On-the-job training will be provided.
