Compliance officer - Vice President

iCapital; Singapore; Híbrido; SGD 90 000 - 140 000; Tempo integral

Resumo da oferta

iCapital is seeking a Compliance Officer to join its Global Regulatory and Compliance Team in Singapore. You will support corporate governance and regulatory activities for the firm and investment vehicles across APAC, pairing with colleagues in Singapore, Hong Kong and Tokyo to enable growth.

Responsibilities include monitoring regulatory developments, advising senior management, handling filings, AML/KYC, training, and risk-based monitoring.

Qualificações

• Five+ years of experience in compliance, regulatory affairs or related areas in financial services.
• Collaborative, proactive and adaptable, able to manage competing priorities.
• Solid knowledge of MAS requirements for capital markets services licence holders, including securities and funds management.
• Experience in regulatory filings, AML/KYC, compliance monitoring and training.
• Knowledge of private markets, investment funds or fund distribution is a plus.
• Awareness of Hong Kong, Japan and Australia regulatory environments is advantageous.

Responsabilidades

• Develop and implement the compliance strategy to support APAC growth.
• Monitor regulatory developments and advise senior management and colleagues.
• Support regulatory filings, corporate governance and recordkeeping for APAC entities and investment vehicles.
• Develop and deliver compliance training and maintain training records.
• Perform risk-based compliance monitoring and assist remediation of issues.
• Provide guidance on licensing, AML/KYC, cross-border distribution and other regulatory matters.
• Collaborate with regulators and stakeholders to mitigate compliance risks for the firm and clients.
• Improve compliance processes and controls, including responsible use of AI and technology.
• Act as a Compliance Knowledge Center and trusted advisor on compliance topics.

Conhecimentos

Team collaboration

English communication

Attention to detail

Project management

Adaptability

Descrição da oferta de emprego

About the Role

iCapital is seeking a Compliance Officer to join its Global Regulatory and Compliance Team, based in Singapore. This role will assist with a variety of corporate governance and regulatory activities both at the firm level and for investment vehicles. The successful hire will work together with experienced members from the APAC Regulatory and Compliance Team based in Singapore, Hong Kong and Tokyo to play a key role in supporting iCapital’s fast growing business in APAC.

iCapital operates through a number of different international entities, many of which are licensed to conduct regulated activities. In APAC, the firm holds financial services licenses in Singapore, Hong Kong and Australia. The successful candidate will partner with the business teams to ensure that our APAC offices are operating within the letter and the spirit of the regulations.

Responsibilities

• Support the development of the compliance strategy to support the firm’s sustainable growth across APAC.
• Monitor regulatory developments and provide clear, practical advice to senior management and colleagues.
• Support regulatory filings, corporate governance and recordkeeping requirements for the firm’s APAC regulated entities and relevant investment vehicles.
• Develop and deliver compliance training and maintain appropriate training records.
• Develop and undertake risk-based compliance monitoring and testing, and support the remediation of identified issues.
• Provide advice on licensing issues, AML/KYC, staff compliance, cross-border distribution and other regulatory matters affecting the business.
• Work closely with senior management, colleagues, regulators and external stakeholders to identify and mitigate regulatory and compliance risks for the firm and its clients.
• Improve compliance processes and controls, including through the responsible use of AI and other technology.
• Act as “Compliance Knowledge Center” within the firm and trusted advisor to senior management, providing guidance and training on compliance topics if needed.

Qualifications

• At least five years of experience in compliance, regulatory affairs, business controls, audit, accountancy, operations or compliance consulting within financial services.
• Collaborative, proactive and an adaptable team player, able to manage competing priorities in a fast-paced environment.
• Sound knowledge of MAS requirements applicable to capital markets services licence holders, including dealing in securities and funds management.
• Practical Singapore compliance experience, including regulatory filings, AML/KYC, compliance monitoring and personal compliance.
• Experience developing and delivering compliance training.
• Knowledge of private markets, investment funds or fund distribution would be advantageous.
• Knowledge of the regulatory environment in Hong Kong, Japan and Australia, including cross-border requirements, would be advantageous.
• Articulate communicator with excellent written and spoken English, sound judgement and strong attention to detail.
• Collaborative, proactive and adaptable team player, able to manage competing priorities in a fast-paced environment.

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/

iCapital is proud to be an Equal Employment Opportunity and Aff… We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.