Regulatory Reporting & Investment Compliance (Capital Market Firm)

Job Title: Regulatory Reporting & Investment Compliance (Capital Market Firm)
Contract Type: Permanent
Location: Singapore
Reference: TU/RRIC/96
Contact Name: Tiffany Utomo
Contact Email:
Job Published: October 27, 2018 15:43

Job Description

  • Pioneer Capital Market Firm
  • High performing and collaborative culture 
  • Competitive remuneration package 

Key Responsibilities

Our client is a pioneer Capital Market firm seeking for a Regulatory Reporting & Investment Compliance personnel to support the company compliance with relevant to investment activities of the private and public market. 

The ideal candidate will possess experience within Regulatory Compliance, Investment Monitoring or Operations and solid understanding on regulatory reporting, investment monitoring requirements with strong analytical skills and ability to engage with various stakeholders.

Key Requirements

  • Assist to implement front to back controls and processes to support company’s compliance with the applicable regulatory reporting requirements and trading / investment restrictions.
  • Assess the impact on systems, controls and processes
  • Involve in change management activities to ensure compliance with any new regulatory requirements and restrictions.
  • To maintain an effective, efficient and sustainable process for necessary regulatory filings
  • Work well in team setting and able to communicate well to engage various stakeholders

Job Requirements

  • 5-8 years’ experience in areas of operations or regulatory compliance
  • Solid knowledge in financial products across all asset classes
  • Understanding of regulatory reporting and investment monitoring requirements
  • Strong analytical, communication and interpersonal skills

EA Licence No.: 15S7496

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