Our asset management client is seeking an experienced Compliance Officer for a maternity cover role within their Compliance Department. This role involves providing regulatory compliance advisory services, managing operational compliance functions, and contributing to governance activities.
Key Responsibilities
- Advisory Compliance:
- Provide guidance on Singapore individual licensing requirements, directors' filings, IACG matters, and conflicts of interest.
- Support compliance projects to enhance regulatory risk management.
- Operational, Monitoring, and Surveillance:
- Manage individual regulatory filings, including license processing, CPD hours compliance, and re-screening of licensed representatives.
- Oversee directors' regulatory filings and new joiners' compliance declarations.
- Assist in the execution of the compliance monitoring plan and review measures addressing culture and conduct requirements.
- Handle regulatory surveys, MAS Bill reviews, and vendor contract reviews.
- Governance:
- Identify training needs and ensure timely, adequate compliance training for all employees.
- Assist in preparing compliance reports for senior management, governance committees, and Head Office Compliance.
- Contribute to the review and development of compliance-related policies and procedures.
Experience / Qualifications
- Graduate or post-graduate degree in Legal, Business, Accountancy, or Computer Science.
- Minimum 5 to 8 years of relevant compliance experience, with at least 2 to 3 years in asset management compliance.
- Strong knowledge of SFA laws, rules, and regulations related to fund management and dealing in securities, with familiarity in FA laws and regulations.
- Excellent communication skills (written and verbal) and effective interpersonal skills, with experience in engaging with various stakeholders.
- Proficient in business transformation and innovation, with the ability to adapt and use initiative.
- Resilient, detail-oriented, and capable of managing multiple initiatives and challenges.
- Forward-looking mindset with a positive, "can-do" attitude, and the ability to work independently
Interested candidates please send in your CV at [email protected]
