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- Conduct statutory lodgments and ensure timely filing of statutory forms.
- Review trading and portfolio management activity, including order entry, execution, news flows and market activity.
- Advise on marketing restrictions and review of marketing material.
- Assess compliance and regulatory risk in trading process.
- Main contact point / liaison for dealing with governmental bodies and external / internal auditors.
- Communicating Compliance-related issues to employees across all divisions of the company.
- Keep abreast of compliance regulatory updates in the Securities, Asset Management and Pension industries.
Regulatory Compliance Manager, Investment Management Firm - Singapore - WilsonHCG Singapore
Description
A leading asset management firm is looking to hire a Compliance Officer to report to the APAC Head of Compliance and manages Singapore compliance matters. You will be responsible for the following
Bachelor's degree with at least 3 to 10 years of work experience in asset management industry. Strong communication and stakeholder management skills.
Singapore Employment Agency Licence No: 16S8069
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