- Independent contributor with high visibility within management team
- Broad spectrum of compliance and related corporate governance matters
- Work with market leaders across various specialism and network with established corporations.
Market leader in corporate services, taking up majority share of the largest and most established clienteles across the SEA market. Given a large corporate office, they’ve set up a funds management arm internally catered for managing their employee share plans. Looking for an exceptional compliance manager to cover compliance work for both the parent company and the fund management arm
- Independent in-house compliance function supporting their internal corporate compliance, risk assessment, compliance operations etc to ensure robust corporate governance
- Have experience setting up MAS regulated frameworks from scratch within a fund management environment (ideally boutique set up)
- Majority of compliance work will be for the parent company that specializes in a broad range of corporate services
- Manage regulatory requirements for investments/funds as part of their employee share plans (ESOP)
- Operationally and advisory ready for topics related to AML/CFT, SFA, FAA, FATCA, ABC, CRS, OFAC etc.
- Onboardnew clients (KYC/AML screenings) and ensure existing clients abide by compliance regulations
- Work closely with internal stakeholders such as General Counsel, COO, Business Development Team and referral work from professional services team members
- Work with external stakeholders like MAS regulators, external auditors etc.
- Continue enhancing and keeping abreadst of relevant regulatory frameworks impacting clients and internal stakeholders
- At least 4 years experience handling end to end compliance matters from firms that are capital markets licensed/RFMC/brokerage/financial services/asset managers/professional services firms (in-house perspective)
- Familiar with the relevant compliance and risk frameworks for financially regulated companies.
- CMFAS Qualifications would be advantageous
- Fluent in English and Mandarin due to demographics of clients involved and communication skills required.
- Commercial minded and able to manage a fluid and dynamic work environment
- Must be adaptable and nimble
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