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The Client Our Client is a global asset management business dedicated to building and providing their with focused investment solutions. They are wholly owned by a major insurance giant with a global footprint and they have assets under management around the world in excess of £236 billion across a range of funds. Their client base ranges from the largest financial institutions to advisors providing investment solutions for individuals. They employ over 1,300 people around the world including some 400 investment professionals, in 20 locations around the world. The Position This position is in essence, a ‘green-field’ to help build and start up our clients’s compliance function across APAC (ex-Australia) and is a rewarding and challenging opportunity for the right individual. Some of the important position requirements are summarised below : • To service the Asia Pacific (ex Australia) businesses, including Real Estate, in meeting its needs to understand the effect of regulations and legislation imposed upon the business. • To implement robust and accurate daily compliance procedures, including periodic review, to ensure investment compliance requirements are met. • To Ensure that the business offerings and Compliance Procedures are in line with regulatory requirements • Ensure that all Compliance policies and procedures are fully understood, and complied with by staff • Ensure that the minimum internal control sets are fully understood, and complied with by all staff • Assists the marketing team with review of all new investment and business proposals and provision of implications of new business developments. • Breaches and errors reporting (internal). • Quarterly reporting of misconduct of licensed representatives to MAS (external). • First contact point for compliance issues and queries • Single reference point for referral of suspicious transactions (including attempted transactions) for possible reporting to STRO. Maintain records of all STRs referred to STRO and related findings and analysis. • Monitoring and oversight of compliance and internal controls, to ensure compliance requirements embedded in business. • Conduct periodic reviews to assess compliance with policies, procedures and regulatory requirements, and report anomalies or non compliance to senior management for further action • Ensure regulatory reporting obligations are complied with. • Ensures Training & Competence procedures and records of relevant staff are maintained. • Maintenance of Singapore compliance and procedures. • Communication of new and changed policies and procedures. • Key contact for business on compliance and other regulatory requirements. • Act as key liaison with Singapore regulatory authorities, including MAS, ACRA, STRO. • Disseminate updates from regulatory authorities to business, as required. • Monitor and assess new and proposed Singapore regulations and communicate these to business, as appropriate. • Monitor Singapore regulatory environment, including new and emerging threats, e.g. money laundering, and report these to the • Reviews all public documentation including prospectuses, Information Memorandums, letters to shareholders, data maintained on our internet site etc. • Assists in responding to significant consultative or discussion papers issued by regulatory bodies. • Ensure a speedy and appropriate reaction to any matter in which money laundering or terrorist financing is suspected. • Advise and train senior management and staff on development and implement internal policies, procedures and controls on AML/CFT. • Ongoing monitoring or oversight of business relations and sample reviewing of accounts for compliance with the Notice and these Guidelines. • Promote compliance with the regulations, including in particular observance of the underlying principles on AML/CFT and taking overall charge of all AML/CFT matters within the organisation. The Candidate • Investment management industry knowledge & experience with more than five years of compliance experience within the asset & funds management business • Strong data analysis skills • Excellent problem solving and issue resolution skills • Understanding of compliance within investment management • Excellent time management and ability to work to tight deadlines and under pressure • Tertiary degree qualified (eg Marketing, Business, Commerce) • Relevant Post Grad qualifications • Professional Compliance or Anti-Money Laundering qualifications Interested candidates can either forward their CVs in MS Word Format to compliance@talent2.com.sg quoting reference number PJ/25372/MK or contact, Prem John, in our Singapore Office, at +65 6511 8526 for a preliminary discussion.
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