Overview

The Compliance Officer for Wellington Management Singapore Pte. Limited is based in Singapore and reports to the Compliance Officer for Asia Pacific. The position will be the Compliance Officer named to the MAS and has responsibility for our Compliance Programs in Singapore and Australia.

Responsibilities

The Compliance Officer will:

  • Lead the firm’s Compliance Programs in Singapore and Australia
  • Document, maintain and advise on policies and procedures for compliance with applicable laws and regulations
  • Conduct local compliance testing/monitoring in Singapore and Australia to supplement the global monitoring program
  • Maintain individual and company licences with the MAS
  • Support senior management, including the heads of the office, to fulfil their regulatory supervision duties
  • Handle regulatory filings/enquiries, and notifications to the regulators
  • Advise and train the portfolio management teams on compliance matters and firm policies
  • Support the firm’s business development and fund marketing efforts in Southeast Asia
  • Manage the annual routine compliance audits by external auditors and any regulatory inspections
  • Act as the named local MLRO with the support of our global Financial Crime team
  • Act as the Chief Compliance Officer for the SEC registration with the support of US Compliance colleagues

Qualifications

  • Five or more years of relevant compliance experience, with a strong preference for experience working at an institutional investment manager
  • Strong ethics, judgment and maturity
  • Strong working knowledge and interest in the financial markets
  • Effective communication, organisation and analytical skills
  • Creativity and ability to work under pressure
  • Proactivity, self-motivation and ability to work independently as well as in a team environment
  • Knowledge of rules and best practices applicable to the on-going compliance of an asset manager in Singapore
  • Similar knowledge of rules and best practices in other markets in the region is highly desirable

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