Regulatory Compliance Manager

PIMCO; Singapore; On-site; SGD 80,000 - 120,000; Full time

Job summary

A leading asset management firm in Singapore is seeking an experienced Regulatory Compliance Manager. The role involves developing and updating compliance policies, conducting training, and ensuring adherence to regulations. Candidates should have 5-8 years of experience in compliance within financial services, preferably asset management. Strong analytical skills, effective communication, and the ability to work under pressure are essential. This position offers a dynamic work environment and the opportunity to engage with multiple compliance initiatives.

Qualifications

• 5 - 8 years of experience in compliance and financial services, preferably in asset management.
• Degree qualified in a finance, accounting, or law discipline.
• Good understanding of global and local asset management regulations.

Responsibilities

• Develop and update Compliance policies.
• Conduct Compliance training for employees.
• Manage license applications and related reporting requirements.
• Review marketing materials for regulatory compliance.
• Conduct Compliance monitoring and testing.

Skills

Compliance Policies Development

Regulatory Reporting

Analytical Skills

Interpersonal Skills

Problem Solving

Teamwork

Time Management

Education

Degree in finance/accounting/law

Job description

Regulatory Compliance Manager PIMCO•Singapore

RESPONSIBILITIES

• Compliance Policies and Training
• Develop and update Compliance policies in response to business changes, industry developments and/or regulatory changes.
• Review existing Compliance policies on periodic basis.
• Conduct Compliance training to employees to educate them on Compliance policies. This includes regular new hire training, periodic refresher training as well as customized, bespoke training as required.
• Regulatory and Licensing
• Ensure new/revised regulatory guidelines, consultation papers and other regulatory related matters are reported, reviewed and the relevant policies and guidelines are updated timely.
• Manage license applications/cessations and related licensing reporting requirements.
• Marketing/Distribution Compliance
• Carry out review of all marketing materials/RFPs/RFIs/website to ensure adherence with relevant regulatory requirements.
• Provide advisory on cross border activities to the business for South Asia countries, including but not limited to Thailand, Malaysia, Philippines, Brunei etc.
• Compliance Monitoring and Testing
• Conduct Compliance monitoring and testing against company’s policies and procedures.
• This includes but is not limited to Code of Ethics monitoring, e-surveillance, social media surveillance etc.
• Anti-Money Laundering & Sanctions
• Carry out on-boarding of new separate account mandates and conduct related sanctions screening.
• Trade Floor Related Interaction
• Provide Compliance advisory on trade floor related
• Compliance policies and procedures.
• Work together with trade floor and relevant business management functions on new market entry and new securities initiatives, highlighting and addressing specific compliance and regulatory requirements/concerns.
• Work on trade error resolution with the trade floor personnel.
• Working with the Business
• Work together with relevant functions on new business initiatives and projects, highlighting and addressing specific compliance and regulatory concerns.
• Participate in client due diligence where necessary, representing Compliance function.
• Audit Coordination
• Support internal/external audit coordination and regulatory reviews.
• Management Reporting
• Support compliance reporting to Global Compliance and senior management etc.

Position Requirements

• At least 5 - 8 years working experience, preferably in compliance and financial services industry. Experience in asset management firms will be a plus point.
• Degree qualified preferable in either a finance/accounting/law discipline.
• Good understanding of global and local regulations impacting asset management firms Candidate with knowledge of retail products related regulations
• Confident individual who is an effective communicator with excellent interpersonal skills Ability to work under pressure with good organization and time management skills.
• Analytical with strong problem solving skillset
• Able to work well independently and within a team, in a fast paced and dynamic environment