Job Description

Overview:

• As members of the broader Asia Compliance Team (Team), your role is to ensure all business activities in the respective locations continue to be conducted in accordance with [Monetary Authority of Singapore (MAS) / Hong Kong Securities and Futures Commission (SFC) / Securities Commission Malaysia (SC)], other regulatory and contractual obligations, and if need-be, coordinated amongst the Team working in different operating locations to achieve adherence. You will also need to ensure that Nikko Asset Management’s (“NAM”) policies and procedures, and best practice standards are effectively and consistently implemented for our different operating locations.
  

• In order to achieve the objectives, you would need to develop and implement a compliance monitoring and surveillance program, in addition to providing advisory services in relation to regulatory requirements and NAM’s policies and procedures.
  

Your daily responsibilities, including the provision of support to your line manager and the supervision and coaching of your direct report (where applicable), would include:

• Conduct monitoring and surveillance programs with respect to investment guidelines, regulatory and client contractual obligations, and NAM’s policies and procedures, and best practice standards
  

• Coding of Investment Guidelines in Bloomberg Compliance Manager (CMGR)
  

• Ensure that regulatory and client contractual obligations are discharged in a proactive, effective and timely manner
  

• Conduct monitoring reviews to identify and address deviations and deficiencies with meeting local regulatory and client contractual requirements
  

• Work with business areas to facilitate prompt identification and remediation of errors, breaches and client complaints, and to ensure corrective actions are implemented to minimise future occurrence
  

• Maintain Compliance records, registers and files
  

• Keep an update on new regulations and industry developments and request for necessary training to improve on soft and technical skills so as to effectively execute one’s areas of responsibility
  

• Ensure prompt escalation of significant issues to functional and business regional management
  

• Prepare and co-ordinate key control documents for management and client reporting
  

• Undertake special or ad-hoc projects assigned by functional and business regional management
  

Knowledge and Skills

• Teamwork and strong verbal / written communication coupled with relationship building and networking skills, are essential to our successful management of a complex global business
  

• Other essential qualities include personal drive and the tenacity to solve problems and develop comprehensive and practical solutions
  

• Comfortable interacting with senior and results-driven managers
  

• Ability to multi-task and work under tight deadline
  

Experience and Qualification

• Finance, Accounting or Law Degree graduate
  

• More than 5 years of strong regulatory knowledge, audit and/or asset management experience
  

• Experience in Investment Compliance and Bloomberg Compliance Manager is highly preferred
  

• Certification in CFA, and/or regulatory, finance, audit and law-related courses is highly preferred