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*NEW* 6 Months contract Compliance Associate - Asset Management

Job description

Job Duties:

  • Conduct monitoring and surveillance programs with respect to investment guidelines, regulatory and client contractual obligations, and company's policies and procedures, and best practice standards
  • 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
  • Liaising with business units for remediation efforts and ensure prompt escalation of significant issues to functional and business regional management
  • Prepare and co-ordinate key control documents for management and client reporting
  • Other ad hoc duties as assigned

Job Requirements:

  • Candidate must possess at least a Bachelor's Degree, Post Graduate Diploma, Professional Degree, in 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

Interested applicants please send your resume in MS Words format and attn it to Tan Joanna (R1104661).

Short listed candidates will be notified

EA Registration Number: R1104661

Data provided is for recruitment purposes only

Business Registration Number: 200611680D. Licence Number: 10C5117

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