Leading boutique Investment Manager is looking to hire a Compliance Manager to provide regulatory advisory and ensure adherence to local and regional regulations across Singapore and HK.
This will be a senior level role (AVP or VP) working closely with the COO and internal Legal department to minimise the regulatory risk of the firm. The firm offers the ideal candidate a great working culture, excellent work environment and an attractive remuneration package.
The ideal candidate would have an excellent understanding of Asset Management, and experience dealing with local regulators, knowledge of current Singapore / Regional political and legislative developments, appropriate to a financial services environment.
- Responsible for establishing, maintaining and implementation of the compliance and risk policies and procedures, and ensuring they are at a level that meets regulator and Group standards
- Responsible for carrying out compliance controls and operations, including investment guidelines and restrictions monitoring, client/product/distribution/investment instruments, counterparties, derivatives, on-boarding/approval process
- Provide guidance and advisory to business units in developing and updating the relevant regulations, codes of conduct, internal policies and good market practices
- Perform regular checks and review to ensure adherence to regulations, policies and procedures
- Degree holder with 5 + years experience in compliance- fund management
- Cross-border regulatory experience (Singapore, HK)
- Strong knowledge of CMS and SFA licenses
- Comfortable working as a stand-alone in a flat structure
- Strong stakeholder / communication skills
- Previous experience in asset management or Hedge Funds