You will be working with the Head of Compliance and acting as Compliance Advocate for designated business functions, providing advisory support on relevant regulations and controls. Key Accountabilities Carry out monitoring/ analysis of regulatory changes relevant to the business which may arise from the firm’s registration in designated jurisdictions (specifically US regulations) or fund related regulations. Provide oversight to ensure adherence to regulatory requirements and compliance standards in the clearance of advertising materials, reviewing for appropriate disclosures and cross border initiatives. Carry out compliance monitoring and other conflict checks (including pre and post investment checks) between the public and private investment teams. Develop, shape and monitor the implementation of compliance policies and procedures. Identify training needs to ensure compliance with Singapore and other relevant overseas regulations (specifically on distribution related topics). Experience/Qualifications Minimum 10 years of relevant compliance experience working in asset management firms. Working knowledge and experience in US regulatory requirements will be a plus point. Sound knowledge of Securities and Futures Act and Regulations, Financial Advisers Act and Regulations, Code of Collective Investments Schemes and CPF Investment Guidelines. Fully able to work independently yet able to adopt a team player mindset with hands on approach when working with business stakeholders to provide regulatory compliant solutions.
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