Assistant Manager/Manager, Investment Compliance Assistant Manager/Manager, Investment Compliance …

HFG (Singapore) Pte. Ltd.
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 28 Mar 20
Competitive
HFG (Singapore) Pte. Ltd.
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 28 Mar 20
Competitive
Monitoring and Compliant of investment guidelines and restrictions

Descriptions: 

  • Conduct compliance monitoring against policies and procedures.
  • Monitor investment restrictions and guidelines, trade surveillance, AML, Sanctions, FATCA, etc.
  • Assist in review of risk and control assessments (RCAs), outsourcing documents and business continuity plans.
  • Assist in internal and external audits (such as ISAE 3402 and annual audits) and in regulatory inspections.

Requirements: 

  • A degree holder with least 2 to 5 years of working experience in compliance, risk management, audit and/or control function within an asset management business. Roles in investment operations would be useful.
  • Knowledge of investment trading and compliance monitoring platforms such as Bloomberg AIM system and/or Blackrock Aladdin (or equivalent systems) is required.
  • Familiar with compliance and monitoring coverage on Derivatives business (besides other asset classes) is required.
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