Compliance Analyst (Asset Management)

Taylor Root; Singapore; On-site; SGD 90,000 - 130,000; Full time

Job summary

Taylor Root represents a leading Asset Manager seeking an experienced Compliance Analyst to uphold regulatory adherence and ethical business practices. You will report to the Head of Compliance and oversee the compliance function to ensure the firm operates within regulatory requirements.

Key duties include ongoing monitoring, reviewing marketing materials, internal controls and regulatory reporting; assist with MAS surveys and filings; provide guidance to senior management; maintain compliance

Qualifications

• Prior working experience in asset management/investment management companies will be viewed favorably.
• In-depth knowledge of MAS, SFA, SFC and regulatory expectations for capital markets intermediaries.
• Strong analytical and problem-solving skills to navigate complex regulatory environments.
• Excellent communication and interpersonal abilities to effectively collaborate with internal teams and regulatory bodies.

Responsibilities

• Oversee and manage all compliance functions, including ongoing monitoring, reviewing marketing materials, internal controls, and regulatory reporting
• Assist with MAS surveys and filings, periodic returns, and audit documentation
• Provide guidance to senior management and business units on compliance matters, ensuring a deep understanding of regulatory implications for various business activities
• Maintain compliance registers and ensure accurate documentation and record-keeping
• Monitor changes in relevant laws and regulations, and proactively adjust compliance policies and procedures accordingly

Skills

Regulatory compliance knowledge

Analytical skills

Communication skills

Interpersonal skills

Job description

Are you an experienced compliance professional with a passion for ensuring regulatory adherence and upholding ethical business practices? We are currently recruiting for a Compliance Analyst with a leading Asset Manager.

Reporting to the Head of Compliance, you would be responsible for managing the compliance function and ensure that the firm operates within the bounds of regulatory requirements.

Responsibilities:

• Oversee and manage all compliance functions, including ongoing monitoring, reviewing marketing materials, internal controls, and regulatory reporting
• Assist with MAS surveys and filings, periodic returns, and audit documentation
• Provide guidance to senior management and business units on compliance matters, ensuring a deep understanding of regulatory implications for various business activities
• Maintain compliance registers and ensure accurate documentation and record-keeping
• Monitor changes in relevant laws and regulations, and proactively adjust compliance policies and procedures accordingly

Qualifications:

• Prior working experience in asset management/investment management companies will be viewed favorably
• In-depth knowledge of MAS, SFA, SFC and regulatory expectations for capital markets intermediaries
• Strong analytical and problem-solving skills to navigate complex regulatory environments
• Excellent communication and interpersonal abilities to effectively collaborate with internal teams and regulatory bodies