Compliance/ Investment Monitoring/ Portfolio Monitoring Compliance/ Investment Monitoring/ Portfolio  …

KS Talent Solutions
in Singapore
Permanent, Full time
Be the first to apply
Market Rate
KS Talent Solutions
in Singapore
Permanent, Full time
Be the first to apply
Market Rate
Posted by:
Manisha Doogar • Recruiter
Posted by:
Manisha Doogar
Recruiter
Our client, a leading financial services company is looking to hire a Senior Compliance Analyst. The incumbent will provide generalist compliance support in the trading markets compliance, marketing & sales compliance, and code of ethics areas of the business.

Responsibilities:

  • Serve as a compliance resource for business partners (Portfolio Management, Trading, Marketing and Client Relations).
  • Extract investment guidelines from prospectuses, SAI’s, investment management agreements, and other contractual constituent documents.
  • Assist with the general administration of Charles River, including rule creation, testing, new account set-up, and production enhancements.
  • Working knowledge of the MAS Securities and Futures Act, SFC Securities and Futures Ordinance, US Investment Advisor’s Act and Investment Company Act, and ESMA UCITS regulations.
  • Participate in the design, refinement, and execution of internal controls and corporate compliance procedures, and any associated audits of said controls that would occur.
  • Assist to convey complex regulatory and investment concepts to internal and external clients.
  • Assist the global compliance team with surveillance and forensic testing of the front office compliance program, as well as the review and maintenance of compliance policies and procedures

Requirements:

  • 3-7+ years front office or generalist compliance experience with a global investment manager (ideally US headquartered).
  • Direct experience working with MAS and / or SFC; other regulators a plus.
  • Working knowledge of equity products; fixed income and derivatives knowledge a plus.
  • Knowledge or experience of the Global Investment Performance Standards (GIPS).
  • Experience with marketing review for regional institutional and advisor clients.
  • Well-developed computer skills: intermediate to expert use of MS office is essential. Familiarity with Charles River or similar order entry systems is desirable.
  • Experience with object-oriented data base platforms and process automation a major plus (SQL, VBA, etc).

If you or anyone within your network is keen to explore this further, then please share your resume with manisha@kstalentsolutions.com

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