- Compliance Monitoring & Testing
- Personal Account Dealing (PAD) Oversight
- Process & Framework Enhancement
Job Description
We are seeking a
Regional Compliance Monitoring & Surveillance professional for a leading Singapore-based asset management company to drive risk-based monitoring and surveillance across multiple business units.
Key Responsibilities
Compliance Monitoring & Testing
- Execute a risk-based compliance monitoring and surveillance plan
- Perform thematic reviews, control testing, and surveillance activities
- Ensure proper documentation of testing methodology, results, and issue tracking
- Drive consistency of monitoring standards across regional business units
Personal Account Dealing (PAD) Oversight
- Act as SME for PAD policies, procedures, and controls
- Provide advisory support and training to employees
- Oversee attestations, onboarding checks, system administration, and UAT
- Support breach reviews, investigations, and escalations
Process & Framework Enhancement
- Identify and implement process improvements
- Support automation and data analytics initiatives in surveillance work
- Keep current with regulatory expectations and industry best practices
Stakeholder & Team Support
- Partner with regional compliance and business stakeholders
- Review and guide team output to ensure quality and consistency
- Prepare clear compliance monitoring reports for senior management
- Support compliance projects, reviews, and investigations as required
Ideal Profile
- 10+ years experience in Asset / Wealth / Investment Banking Compliance or Surveillance
- Strong background in compliance monitoring, controls testing, and risk frameworks
- Good understanding of regulatory and governance requirements
- Strong analytical, documentation, and reporting skills
- Confident communicator with senior stakeholder exposure
- Proactive, detail-oriented, and improvement-focused
We regret to inform that only shortlisted candidates will be notified.
EA Reg No: R25145980, Bibi Fatima
Allegis Group Singapore Pte Ltd, Company Reg No. 200909448N, EA License No. 10C4544
