Our client is a rapidly growing asset management company to manage internal funds of the Group. The role is primarily dealing with investment compliance tasks and responsibilities.
- Provide primary support on compliance and secondary support on risk management.
- Ensure activities are conducted in accordance with policies and procedures.
Minimum Job 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.
- Good understanding of Singapore asset management regulatory framework is needed.
Roles & Responsibilities:
- Conduct compliance monitoring against policies and procedures.
- Monitor investment restrictions and guidelines, trade surveillance, AML, Sanctions, FATCA, etc.
- Review breaches/ errors/ incidents, assess their impact, identify root causes, recommend actions, ensure timely resolution and capture lessons learnt.
- Advise on personal dealing, gifts and entertainment, outside business interests, conflicts of interests and other issues under Code of Conduct.
- Review marketing materials relating to products and services (including Luxembourg UCITS SICAV).
- Prepare internal reports to CEO, Board of Directors and Group Risk & Compliance as well as external reports to regulators.
- Assist in updating registers such as regulatory obligations and regulatory reporting
- 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.
Interact with Section Heads in different functions such as equities, fixed income, alternatives, real estate, research, derivatives, trading, operations, legal and governance, finance and internal audit.