Investment Compliance Analyst (1 year contract)
- Ensure that 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.
- Ensure that company's 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 be familiar with the compliance monitoring and surveillance program.
- Conduct and provide team support in monitoring and surveillance programs with respect to investment guidelines, regulatory and client contractual obligations, and NAM's policies and procedures, and best practice standards.
- Maintain Compliance records, registers and files.
Experience and Skills requirements:
- Graduate with a Finance and Accounting Degree.
- More than 2-3 years of working experience in financial institutions with prior experience in compliance monitoring.
- Teamwork, strong verbal and written communications coupled with relationship building and networking skills, are essential to our successful management of a complex global business.
- Able to multi-task and work under tight deadlines.
If you are interested in the role above, email your updated resume to email@example.com
We regret that only shortlisted candidates will be notified.
Licence Number: 10C5117
EA registration Number R1439496
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