Overview

ROLE and RESPONSIBILITIES:

Mid to Senior level compliance professional to manage the Singapore Compliance program including:

  • Develop/enhance compliance policies and procedures;
  • Primary interface with Singapore regulators
  • Review of marketing materials and reports for funds (UCITS) and separate accounts in  Singapore and other Asian Pacific jurisdictions
  • Advise business on Know Your Client and Anti Money Laundering requirements, and assist in resolution of KYC, AML and other distribution matters
  • Monitoring and oversight of distributors, administrator and other business partners;
  • Compliance monitoring reviews and testing;
  • Experience monitoring portfolio investment compliance using automated systems on both a pre and post trade basis. Preference for candidates with experience with the Charles River Development Investment Management System (CRIMS), and familiarity with the regulatory framework for both United States registered mutual funds and Luxembourg registered UCITs.
  • Experience working with portfolio managers, operations and trading desks to resolve potential investment compliance issues.
  • Assist in compliance training and email surveillance;
  • Assist with pre-clearance of PA trading requests and other Code of Ethics matters
  • Assist in fund registration and related requirements globally

QUALIFICATIONS and EXPERIENCE:

  • Law degree a plus, Bachelor required;
  • Minimum of 5 years of experience in fund/advisory compliance;
  • Knowledge of fund sales and marketing compliance practices and rules in Singapore and other Asia Pacific jurisdictions a plus;
  • Detailed knowledge of MAS rules and requirements;
  • Knowledge of the Asia regulatory environment ability to communicate effectively across a global organization, with excellent analytical, written, verbal and organizational skills;
  • Must be self-directed and self-motivated and possess a strong work ethic, team-orientation, with high ethical standards;
  • Knowledge of the structure and operations of UCITS compliance and marketing laws in Luxembourg and/or Dublin;
  • Excellent spoken and written English communication skills;
  • Previous working experience as a regulator or in audit/legal/financial industry, familiarity with US and European regulatory and compliance environment for funds, advisers and broker-dealers is a plus;
  • Experience advising and partnering with heads of business and working with a sophisticated Board of Directors is preferred;
  • Experience working in an asset management company is desired;
  • Solid leadership and team building experience ;
  • Strong financial/ strategic acumen

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