Compliance Associate
Core
Support the delivery of the Firm's global compliance programme in Singapore, including regulatory filings, examinations, investigations, inquiries, audits, and inspections.
Role type
Compliance Associate (Financial Services)
Builds
Regulatory compliance program and controls for a global alternative investment firm in Singapore
Domain
Financial Services / Asset Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance, personal trading management, regulatory filings, KYC/AML/sanctions, policy administration, research, process management
Preferred skills
Financial services regulation, funds, corporate secretarial work, compliance systems, data and reporting tools
Responsibilities
Support regulatory filings, examinations, investigations, inquiries, audits, and inspections; Administer Code of Ethics and personal trading policies; Manage personal trading programme (disclosures, pre-approval, reconciliations, monitoring); Act as adviser on personal trading and policy interpretation; Support MAS licensing and fit-and-proper requirements; Prepare regulatory submissions; Maintain policies and compliance registers; Respond to KYC, AML, and sanctions queries; Conduct AML reviews and training
Seniority
Mid-Senior, hands-on IC
