Compliance Specialist (Asset Management)
- BBBH785380 Jun 18, 2021 Competitive
My client is an International Asset Management firm looking to hire a Compliance Specialist for its regional team. Role to be based in Singapore.
Compliance Specialist (Asset management)
Morgan Mckinley is working in partnership with a Global Asset Manager to support their regional Compliance team. This will report into the Regional Head of Compliance for the APAC region.
- Manage regulatory matters, including relationships and correspondence regulators, regulatory examinations, licensing and filings and other regulatory requirements for the conduct of business for Singapore
- Maintain the compliance plan and conduct regular compliance monitoring review such as Customer due diligence, personal account dealing, gift and entertainments, training, outsourcing review, licensing requirements and other specific business areas
- Review and approve regional sales and marketing materials on a variety of products and services according to global and local standards
- Conduct regular compliance training to the Singapore Office
- Work with compliance service provider for periodic review on the business activities
- Act as liaison contact for any regulatory visit/audit/client visit/due diligence for Singapore
- Perform regional compliance tasks and work in various regional or global projects. Act as back up for Regional Compliance in Hong Kong
- Regular reporting to regional head of compliance for compliance matter
The Successful Applicant
As a successful applicant, you would have the following skills & qualifications:
- At least 5 - 7 years compliance experience in global asset management companies
- Candidates with a greater number of years of experience are welcome to apply
- Degree holder
- Familiar with MAS regulations
- Solid experience in handing enquiries from regulators such as the MAS
- Good analytical and communication skills and able to work independently
- Independent, strong self-initiative, flexible and a good team player; and hands on, ability to adapt to a fast pace and work in international environment and willing to assume responsibility
Referrals are greatly appreciated.
Morgan McKinley Pte Ltd
EA Licence No: 11C5502
Registration No: R1770166
Registration Name: Suhani Malhotra
Only shortlisted candidates will be responded to, therefore if you do not receive a response within 14 days please accept this as a notification that you have not been shortlisted.
+65 6818 3174