An exciting VP - Compliance - Senior Business Advisor job has become available within the asset management arm of a global investment bank.
About the VP - Compliance - Senior Business Advisor Role:
This key position will play a critical role in enhancing the bank's ability to conduct business in the region. This is a highly-regarded international organisation that prides itself on providing a diverse and working environment and consistently drawing top talent, globally. This compliance function operates a lean model and would expose the candidate to a broad range of strategies and financial products across multiple jurisdictions. The candidate should have an excellent understanding of regulatory compliance policies and procedures with solid exposure to the asset management business.
- Provide guidance on proper applications and interpretation of laws and regulations applicable to the asset management activities
- Review relevant MAS consultation papers, consider the impact to the business and collate and coordinate the submission of business comments (if any) to the regulator
- Execute and maintain the compliance monitoring programme to ensure regulatory risks are effectively monitored
- Advise, review and monitor staff activities to comply with policies and procedures in accordance with regulatory requirements and internal guidelines for the business
- Review and conduct independent monitoring over marketing materials distributed to clients to ensure compliance with local advertisement rules, best practices and applicable internal and external requirements
- Advice and monitor on cross border business issues
- Participate in new product or business initiatives to ensure that they are in compliance with regulatory requirements, including reviewing of marketing materials, term sheets, etc.
- Compliance monitoring of regulatory investment restrictions and guidelines; and market conduct activities such as cross trading, best execution and fair allocation
In order to be successful in this role you will need a proven track record of working within an asset management firm providing compliance advisory in a range of regulatory matters. Experience in, providing accurate guidance in challenging business-focused scenarios, will also be key.
- Minimum of six to eight years of relevant experience with at least three years in asset management compliance
- Strong knowledge of SFA laws, rules and regulations relating to the regulated activities of fund management as well as familiar with the FAA laws, rules and regulations
- In-depth knowledge of traditional and alternative investment asset management products
- Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines
- Perform duties objectively and to support sustainable growth in an independent manner
- Excellent organisational, prioritisation and time management skills
- Strong English written and verbal communication skills
This is the asset management arm of a global investment bank
If you have the above skills and experience and are ready to take the next step in your career, this VP - Compliance - Senior Business Advisor role could be for you.
Apply today or send me the latest version of your CV to start a conversation and learn more.
Robert Walters (Singapore) Pte Ltd
ROC No.: 199706961E | EA Licence No.: 03C5451
EA Registration No.: R1659143 Gavin Izon