Compliance Officer (Asset Management)

Charterhouse is currently partnering with an Asset Manager to source for a Compliance Officer. This is a new headcount due to expansion of business, reporting to the Head of Compliance. He/She will be performing the day-to-day compliance matters.

Responsibilities

Reporting to the Head of Compliance, the incumbent will perform Anti-Money Laundering (AML) procedures, including sanctions screening for clients, prospects, and brokers, and assess client onboarding documentation. You will monitor alerts and perform investigations relating to restricted lists and sanctions across firm-managed funds and mandates.

You will conduct quarterly/yearly compliance reviews, including distributor testing, email surveillance, and monitoring of personal transactions and expenses for reporting purposes.

The incumbent will assist in the development and implementation of compliance policies and procedures. You will ensure timely implementation of changes in regulations and compliance policies.

Requirements

1. Possess a Bachelor's degree with a minimum of 5 years of compliance experience within the Financial Sector.
2. Good understanding of the AML framework.
3. Ability to work independently with minimal supervision.
4. Excellent written and verbal communication skills in English.
5. Proactive and highly motivated, with the ability to handle challenging situations with maturity.

For more information on the above position, or to discuss the compliance market in general, please send your CV to Xuan Kwok at XuanK@charterhouse.com.sg or call 6950 0354 for a confidential discussion.

EA License no: 16S8066 | Reg no.: R1433611

Only successful candidates will be notified.

*Singaporeans only*