Compliance Manager

Nanhua Asset Management Sg Pte. Ltd.; Singapore; On-site; SGD 120,000 - 170,000; Full time

Job summary

Nanhua Asset Management Sg Pte. Ltd. is seeking a Compliance & Risk Manager to ensure alignment with local and international regulatory requirements.

You will support the compliance management framework, work with the business development and operations teams, and provide guidance on policies and procedures to uphold regulatory standards. The role covers MAS regulatory obligations, AML/KYC checks, policy maintenance, and training.

Qualifications

• At least 5 years of experience in a compliance, external audit, governance environment, with 2+ years in a lead role.
• Solid knowledge of Singapore regulations and MAS regime.
• Experience building compliance frameworks and policies from scratch is advantageous.

Responsibilities

• Identify and stay updated with MAS compliance requirements.
• Maintain and implement company compliance policies and procedures (AML/CFT, outsourcing, TRM, compliance manual).
• Collaborate with stakeholders to manage the Enterprise Risk Management Framework (ERM).
• Ensure ongoing compliance with internal processes and policies.
• Conduct regular compliance audits and suggest process improvements.
• Coordinate with regulatory authorities on inquiries, licensing, reporting, inspections, or investigations.
• Prepare and ensure MAS regulatory filings.
• Perform AML/CDD/KYC checks on onboarding and ongoing reviews.
• Provide training to employees on compliance topics.

Skills

Regulatory compliance

Risk management

AML/KYC knowledge

Stakeholder management

Training employees

Audit experience

Job description

As a Compliance & Risk Manager within Nanhua asset management SG team, you will ensure that all business activities align with local and international regulatory requirements, supporting the company’s compliance management framework. You will work closely with internal business develop team and operation team to ensure compliance with asset management industry regulations, and providing compliance and risk guidance on policies and procedures.

Job Description

• Identify and keep abreast with all compliance requirements with MAS;

• Maintenance and implementation of Company’s Compliance policies and procedures, including AML/CFT Manual, Outsourcing, TRM, Compliance Manual;

• Partner with stakeholders in managing the Enterprise Risk Management Framework (ERM), ensure relevance to changing business needs and landscape;

• Ensure ongoing compliance with all internal processes and policies;

• Conduct compliance audit regularly and suggest measures to improve efficacy of processes;

• Continuously evaluate internal processes and institute improvements;

• Point-of-Contact for all compliance requirements and obligations in Singapore, with internal and external stakeholders;

• Coordinate and liaise with regulatory authorities on enquiries, licensing matters, reporting, inspection, or investigations;

• Prepare and ensure ongoing compliance with MAS regulatory and filing requirements;

• Perform AML/CDD/KYC checks as well as name screening on newly onboarded clients as well as ongoing review of existing clients;

• Provide training to employees on compliance topics, enhancing their awareness and understanding of policies to ensure company-wide adherence to compliance standards;

• Other compliance responsibilities and operational support work.

Requirements:

• At least 5 years of working experience in a compliance, external audit, governance environment, with at least 2 years in a standalone or lead compliance role;

• Solid experience and knowledge of Singapore regulations as well as good understanding of MAS regime;

• Experience building compliance frameworks and policies from scratch will be advantageous;

• Strong command of English and Mandarin to liaise with stakeholders in Singapore and China office;

• Prior experience working in Fund Management or Private Wealth Management is preferred;

• Have strong sense of ownership spirit, and able to work independently.