Compliance Executive
Singapore, Singapore
Job Description
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Responsibilities:
- Assist in developing and implementing an effective legal compliance program and company policies; support the drafting of policies and procedures, and oversee vendor management requirements.
- Assist with implementing and monitoring the compliance program for Investment Funds managed and/or advised by the Company. Specific areas of coverage include but are not limited to client onboarding, valuation, NAV calculation, capital calls, and oversights of the Fund\xe2\x80\x99s Service Providers (Transfer Agent, Fund Administrator, Custodian, etc).
- Support the offering of investment funds including setting up of investment vehicles, engaging fund administrators, and working with portfolio managers and investment operations to resolve issues.
- Coordinate the response to regulatory examinations and inquiries including but not limited to surveys, questionnaires, filing requirements, etc.
- Assist in interaction with regulatory agencies, and lead due diligence efforts and initiatives.
- Stay abreast of the SFA, Company laws, and other applicable laws and regulations.
- Collaborate with external and internal auditors.
- Provide backup and support to the Head of Compliance and Operation as needed.
Requirements : At least 5 - 7 years of relevant experience in asset management and/or wealth management supervisory compliance, audit, risk, or other control function role. Diploma or Degree level qualification in business, accounting discipline preferred Excellent interpersonal and communication skills, drive, enthusiasm, and commitment Ability to think critically with good problem-solving skills; results-oriented to ensure sound implementation of controls and compliance processes/procedures. Collaboration-focused and team player; Can-do, willing to learn and grow attitude.
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Job Detail
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Job IdJD1302126
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IndustryNot mentioned
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Total Positions1
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Job Type:Full Time
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Salary:Not mentioned
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Employment StatusPermanent
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Job LocationSingapore, Singapore
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EducationNot mentioned