Our client is a listed energy infrastructure and technology company with global presence and 40 years of history. As part of their growth, they are launching an Asset Management division with their first fund to be focused on renewables. They are currently looking to build up the core team who will drive this business sector for them. One of the key hires is a Compliance Manager.
This is a generalist role with a focus on regulatory compliance and the candidate will cover not only local regulatory matters but will also gain exposure to a broader set of regional and global projects and ongoing responsibilities.
The ideal candidate is knowledgeable in local regulations and its applicability to a fund management business and is looking to take his/her career to the next level by growing further to a broad regional focus over time.
Key Duties & Responsibilities:
- Supervise the management of a broad range of regulatory compliance matters with a primary focus on (but not limited to) Singapore and the broader Asia region
- Review various license applications and regulatory filings
- Monitor regulatory developments and provide guidance on the development of compliance manuals, policies and procedures
- Supervise the development of systems to track and monitor our regulatory risk, compliance with regulatory requirements and internal policies
- Review reports and ensure timely submission of reports to various regulators particularly MAS
- Provide guidance on the due diligence exercise in relation to investment/ fund activities and advise on the remedial action in relation to any compliance issues identified. Escalate the issues to Compliance Manager / Director, Compliance as and when required
- Establish compliance training framework and conduct the compliance training programme for internal and external stakeholders
- Build and maintain regulatory relationship with MAS and respond to queries from MAS
- Undertake various ad hoc compliance projects and initiatives as required from time to time
- Possess a Bachelor’s degree or equivalent
- Professional compliance qualification (e.g., ICA, ACAMS, CFE) would be preferred
- At least 8 – 10 years’ experience in compliance, especially in asset management
- Good knowledge of the Singapore rules and regulations applicable to fund management business, knowledge of other regional rules and regulations will be beneficial