Manager, Regional Compliance
Salary SGD100000 - SGD150000 per annum
Consultant WeiYolk Loke (R1545553)
Date posted 09 February 2017
A global prestigious fund manager is expanding the regional compliance team and they are looking for an experienced compliance professional with a background on the buy side to join the team. This is a new headcount and you will report directly into the Director of Regional Compliance.
About the Manager, Regional Compliance Role:
You will be responsible to provide support to the Director of Regional Compliance in providing assurance to the relevant stakeholders of the firm on the effectiveness of local compliance arrangements via a robust regional quality assurance programme and that adequate strategies/structures & resources exist in local business units (LBUs) to ensure delivery of the local assurance model.
- Ensure arrangements are in place to identify and provide an ongoing assessment of compliance risks in order to protect the firm’s brand, integrity and reputation
- Provide counsel to the regional compliance team on regulatory and market conduct compliance issues
- Participate in the region-wide risk based QA programme covering all of the firm’s compliance functions
- Manage projects that are specific investigative and themed reviews where relevant
- Assist in tracking of issues via detailed monitoring, verification, closure and reporting of issues, actions or recommendations noted in the assurance report
- Assist in further developing the existing QA methodology to ensure global best practice is followed
- Assist in preparation of periodic progress reports to the senior management
- Assist in the delivery of a robust review of the local business units’ AML arrangements to include assessment of sanction screening systems, risk-based frameworks and adherence to Group policies
- Assist in design and delivery of training & development programmes to aid the local business units in the assurance understanding and capability
- Provide advice and assistance to LBU compliance functions as relevant on the resolution of key compliance issues (ensuring necessary escalation and follow-through) and business initiatives
- Provide compliance input and support to all the regional teams as required
- Keep track of emerging regulatory trends and new legislation impacting the firm’s businesses and use in conjunction with key accountabilities
- Assist in the development and roll-out of regional standards, policies and practices and ensure their effective implementation
To succeed in this role, you must have a good understanding of funds business and operations.
- Must have minimum 8-10 years' experience in handling Compliance Monitoring, AML or Internal Audit space in asset management business or regulatory body
- Excellent communication skills combined with negotiation/influence experience and report writing skills
- Detailed knowledge on asset management compliance
- Internal Audit, Compliance and/or QA experience
- Ability to communicate in Chinese and/or other spoken Asian languages is a plus as this is a regional role that requires communication with the local teams
This asset manager needs no introduction and is recognised as the leader in their field of expertise. The firm has a key focus in Asia and currently has an AUM of over a 100 billion SGD. The fund has a global footprint and offers a dynamic and conducive workplace coupled with highly competitive remuneration.
If you are driven and determined and want to take the next step in your career, this is the role for you.
Apply today for this exciting opportunity.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1545553 Wei Yolk Loke