Consultant Gavin Izon (R1659143)
Date posted 14 May 20192019-05-14 2019-07-13 financial-services 6 Battery Road Singapore 049909 Robert Walters
An exciting job opportunity is available to join an established Asset Management firm as a Compliance Officer.
About the Compliance Officer role:
You have a foundation in a compliance discipline but this is very much a developmental role and training will be provided in the relevant areas. The primary responsibilities include maintenance of licenses, review and perform regular compliance monitoring including but not limited to staff trading and other firm-wide compliance policies (e.g. gifts and entertainment etc.).
- Provide regulatory support such as managing licensing, reporting and conduct requirements
- Perform compliance reviews of client correspondence for use in Singapore and other Southeast Asia markets
- Perform AML and sanctions checking
- Maintain compliance manuals which are in line with best practices and relevant regulatory requirements
- Providing compliance advisory on outsourcing arrangements
- Conduct in-house training for staff e.g. anti-money laundering, staff personal dealing, licensing, regulatory requirements etc
- Assist in the planning and execution of Compliance Monitoring Program and prepare reports to management/ stakeholders regarding the recommendations made from the review findings
- Maintain client's database including subscriptions and redemption information
To succeed in the Compliance Officer role, you must be degree qualified in either a finance/accounting/law discipline.
- At least three years' working experience in compliance and/or audit in financial services industry, preferably with asset management background
- Knowledge of the Securities and Futures Act and its relevant regulations and notices, in particular relating to Capital Markets Services License to conduct the regulated activity of Fund Management and offering of collective investment schemes
- Confident, self-motivated, resourceful and able to take initiative and work autonomously
- Ability to work under pressure with good organisation and time management skills
This company is one of the top names in its niche market. The business succeeds on the speed of its innovation and there are great opportunities to progress in this dynamic company.
If you are a progressive Compliance Officer with a can-do attitude, this is an excellent opportunity to work with an industry leader that is constantly breaking new ground.
Apply today to discuss this exciting opportunity.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1659143 Gavin Izon