Our client is an asset management firm with an AUM of 1 bill equity fund. They provide good employee benefits and company culture.
Reporting Relationship: Compliance Manager
Responsibilities:
- Secretary to Risk Management Committee
- MAS Survey / Questionnaires
- Conflicts of Interest
- Directors’ Business Interest
- Periodic Disclosure to Investors/Professional Indemnity Insurance
- Staff Personal Dealing
- Compliance Risk
- Outsourcing
- Licensing Conditions
- Fit and Proper requirements including Continuing Education
- Upkeeping Registers
- Representative Register
- Distributor/Introducer
- Outsourcing
- Gifts and Entertainment
- Complaints
- Errors/Exceptions
- Continuing Education
- Suspicious Transaction Reports
- IT Risk
- Periodic User Rights Review
- IT assets Inventory
- Critical IT Systems
- IT Security
- Operational Risk
- Business Continuity Management – BCP/DRP
- Brokers/Counterparties onboarding
- Brokers/Counterparties Periodic Reviews
- Introducers/Distributors
- Investment Risk
- Investment Mandate Compliance
- Internal Limits Compliance
- Other day to day compliance monitoring and ad hoc projects
Requirements:
- Degree in finance, banking and finance or business related
- Minimum 1-2 years relevant experience in funds area
