Key Roles and Responsibilities of the Compliance Officer,Investment Management
- Maintain and revise compliance policies and procedures for the general operations of the fund manager
- Conduct investigations on suspicious transactions/activities surfaced during reviews
- Liaise with Investment Representatives and business managers for issues and deficiencies identified during reviews
- Keep abreast of regulatory implementations and ensure adherence to law, rules and standards in Singapore
- Responsibility for promoting & monitoring compliance with all relevant business units
- Communicating the regulatory and internal standards to the employees and ensure compliance
- Controlling & assessing the adequacy/effectiveness of approved internal policies
- Liaise with client directors for issues and deficiencies identified.
- Work with internal/external stakeholders
- Assist in projects or process improvements and other ad-hoc duties
Requirements of the Compliance Officer, Investment Management
- At least 4 years of relevant experience at a fund management
- Strong regulatory knowledge - MAS rules and regulations, and other jurisdictions is advantageous
- Knowledgeable and sensitive to risks relating to Environmental, Social and Corporate Governance (ESG)
- Ability to work independently and collectively as part of a team
- Strong technical skills and a strategic mindset and business acumen
- Excellent stakeholder management and keen eye for detail
