Job Description

Compliance Manager ComplianceAsia is an independent compliance consulting firm in Asia Pacific, established in 2003 with key offices in Singapore, Hong Kong, Shanghai, Japan and London. We have an unmatched track record of completing complex compliance consulting projects for financial firms in the APAC region. With over 70 staff, including compliance experts with experience in dealing with the SFC, HKMA, MAS, CSRC, AMAC, JFSA and Asian Exchanges, we provide independent, unbiased advice on Asian financial industry legislation and regulations. Our international client base consists of asset managers, hedge funds, private equity funds, family offices, broker-dealers, insurers, wealth management and investment banks.

Job Duties:

• Lead a small team to provide on-going compliance support services to our clients, including but not limited to regulatory advisory, drafting of compliance policies and procedures, preparing monthly and quarterly compliance reports, and being the point of contact for clients in answering their enquiries
• Clients consist of asset managers, hedge funds, private equity firms, corporate finance houses, brokers, investment advisory firms, private placement firms, fund & research distribution houses, money services businesses, trust companies etc.
• Liaising with the local regulator and other service providers on behalf of the client
• Ensure smooth daily operation and maintain service quality and efficiency
• Meeting with prospective clients to gain an understanding around their business activities and providing relevant advice in respect of the appropriate ongoing compliance obligations
• Provide compliance training to members within the team and the wider group
• Establish and maintain good working relationships with clients
• Other ad hoc tasks
  

Job Qualifications:

• Degree or above in Law, Accounting or Finance
• Familiar with financial services industry with basic knowledge in regulations and laws
• At least 5 years of relevant working experience in banking / financial industry
• Highly effective communicator with strong English skills in speaking and writing
• Team player, able to work under pressure and in a multi-task environment.

We are looking to hire an experienced Compliance Manager to join our team in the Singapore office to assist with delivering compliance consulting services to our financial industry clients.

If you are looking for a diverse compliance environment where we provide support to every type of licensed entity in Singapore, as well as consult on regional and international compliance issues, then ComplianceAsia provides a good career choice for you!

Our clients consist of many of the world’s leading and most exciting financial firms and we provide to them compliance support on important projects such as AML, mock inspections, documentation and training, licensing with the major financial regulators in Singapore and overseas and then provision of ongoing compliance support for smaller or specialist operations.