We’re looking for a candidate to fill this position in an exciting company.
Provide ongoing Compliance advisory and licensing support to local senior management and business team
Participate in new business or financial product launch, provide Compliance advice on different new business initiative/products and conduct suitability review
Educate Compliance and business personal on applicable Compliance-related rules and regulations
Advise business personnel on the effectiveness of the design and implementation of business controls in different business lines
Escalate Compliance issues or concerns to the attention of senior management
Review marketing materials and refine the process on a risk-based approach
Manage key projects from the initiation and planning stages through execution and completion
Interact with regulatory agencies and internal/external legal staff on regulatory exams and inquiries
University degree preferably in Accounting, Business Administration, Finance, Law or a related discipline
Minimum of 5-8 years of experience in the Compliance or regulatory functions at a large financial institution, preferably asset management company, or financial services regulator
Demonstration of sound knowledge in MAS requirements related to registered collective investment schemes and applicable regulations for investment managers
Knowledge of rules and regulations in South East Asia a plus
Good knowledge of industry best Compliance/regulatory practice, together with relevant fund management, dealing and distribution practices and procedures