Compliance Specialist (AVP), Investment Management  …

Sloane Shorey Consulting
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 02 Apr 20
Excellent
Sloane Shorey Consulting
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 02 Apr 20
Excellent
Top-tier investment manager has a newly created role in their regional compliance team based in Singapore. This role will support the Singapore and Regional Compliance teams with compliance monitoring, marketing materials reviews and general regulatory and operational compliance matters.

 

Compliance Specialist (AVP), Investment Management

The Compliance Specialist will support the Singapore and Regional Compliance teams with compliance monitoring, marketing materials reviews and general regulatory and operational compliance matters.

 

Responsibilities

Compliance Monitoring:

  • Carry out compliance monitoring tasks as per compliance programme, provide reporting on results.
  • Enhance and amend monitoring programme for regulatory changes as needed.

Marketing Materials Review:

  • Review of financial promotions, website content and marketing materials from a compliance perspective.
  • Update/document procedures to ensure best practice for marketing materials.
  • Maintain register of marketing reviews.
  • Review and update Disclaimer Library used by Marketing on a regular basis

General Compliance:

  • Screening of prospects/clients
  • New client classification
  • Client onboarding
  • Collate KYC, AML and investment suitability documentation

 

Requirements

  • Around 6 - 9 years of professional experience
  • At least 4 years in compliance covering cross border activities across Asia.
  • Compliance monitoring and assurance experience useful
  • Marketing materials review experience a must

 

**Role requires English, Cantonese and Mandarin language skills as dealing with counterparties across Asia and will review materials in both English and Chinese.**

 

Apply now for a confidential discussion on this role.

 

 

Sloane | Shorey

Sloane Shorey Consulting is a specialist recruitment firm focusing on corporate governance hiring within banking and financial services. From our offices in Singapore, we recruit for compliance, controls and risk management positions across Asia Pacific. We are a Ministry of Manpower Licensed Employment Agency (EA License 17S8548).

Live vacancy listings: sloaneshorey.catsone.com/careers

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