Compliance Officer

  • Competitive Compensation Package
  • Singapore Singapore Singapore SG
  • Permanent, Full time
  • Matthews Asia
  • 21 Apr 18 2018-04-21

Matthews Global Investors is seeking an experienced Compliance Officer for our Singapore office.

TITLE: Compliance Officer
LOCATION: Singapore
EMPLOYER: Matthews Asia


Matthews Global Investors is a broker-dealer subsidiary of Matthews International Capital Management, LLC, an independent, privately owned investment management firm and the largest dedicated Asia investment specialist in the United States. Founded in 1991, Matthews believes in the long-term growth of Asia and has focused its efforts and expertise within the region, investing through a variety of market environments. Matthews employs a bottom-up, fundamental investment philosophy, with a focus on long-term investment performance.  


For more information about Matthews, please visit www.micm-llc.com.

REPORTING RELATIONSHIPS:
The Compliance Officer will report to the Matthews Global Head of Risk & Compliance and coordinate with Matthews’ U.S. Legal and Compliance and Hong Kong Compliance.


ROLE and RESPONSIBILITIES:
Mid to Senior level compliance professional to manage the Singapore Compliance program including:
• Develop/enhance compliance policies and procedures;
• Primary interface with Singapore regulators
• Review of marketing materials and reports for funds (UCITS) and separate accounts in  Singapore and other Asian Pacific jurisdictions
• Advise business on Know Your Client and Anti Money Laundering requirements, and assist in resolution of KYC, AML and other distribution matters
• Monitoring and oversight of distributors, administrator and other business partners;
• Compliance monitoring reviews and testing;
• Experience monitoring portfolio investment compliance using automated systems on both a pre and post trade basis. Preference for candidates with experience with the Charles River Development Investment Management System (CRIMS), and familiarity with the regulatory framework for both United States registered mutual funds and Luxembourg registered UCITs.
• Experience working with portfolio managers, operations and trading desks to resolve potential investment compliance issues.
• Assist in compliance training and email surveillance;
• Assist with pre-clearance of PA trading requests and other Code of Ethics matters
• Assist in fund registration and related requirements globally

QUALIFICATIONS and EXPERIENCE:
• Law degree a plus, Bachelor required;
• Minimum of 5 years of experience in fund/advisory compliance;
• Knowledge of fund sales and marketing compliance practices and rules in Singapore and other Asia Pacific jurisdictions a plus;
• Detailed knowledge of MAS rules and requirements;
• Knowledge of the Asia regulatory environment ability to communicate effectively across a global organization, with excellent analytical, written, verbal and organizational skills;
• Must be self-directed and self-motivated and possess a strong work ethic, team-orientation, with high ethical standards;
• Knowledge of the structure and operations of UCITS compliance and marketing laws in Luxembourg and/or Dublin;
• Excellent spoken and written English communication skills;
• Previous working experience as a regulator or in audit/legal/financial industry, familiarity with US and European regulatory and compliance environment for funds, advisers and broker-dealers is a plus;
• Experience advising and partnering with heads of business and working with a sophisticated Board of Directors is preferred;
• Experience working in an asset management company is desired;
• Solid leadership and team building experience ;
• Strong financial/ strategic acumen

 

Matthews International Capital Management, LLC is an equal opportunity employer. The Company does not unlawfully discriminate on the basis of race, color, religion, religious creed (including religious dress and grooming practices), age, national origin, citizenship, ancestry, political activity or affiliation, marital status, sex, sexual orientation, gender, gender identity, gender expression, physical or mental disability, medical condition as defined under applicable law, genetic information, military or veteran status, pregnancy, childbirth and related medical conditions, taking or requesting statutorily protected leave, or any other characteristic protected by federal, state, or local laws or ordinances.