Compliance Associate

Responsibilities

• Conduct employee-related compliance checks, including personal trading, gifts and entertainment, outside business activities, conflicts of interest, mandatory leave monitoring, employee due diligence, and compliance training.
• Carry out periodic compliance reviews to assess adherence to Singapore financial regulations.
• Conduct substantial shareholding monitoring and reporting.
• Coordinate with internal teams to prepare and submit regulatory surveys, filings, notifications, and reports for the company, its representatives, or funds to the Monetary Authority of Singapore.
• Monitor regulatory developments and assess their implications for the company.
• Assist with regulatory audits conducted by internal and external auditors.
• Support compliance and operational initiatives and projects, including the use of AI tools.
• Candidates who demonstrate the required aptitude will have the opportunity to gain exposure to additional areas of regulatory compliance.

Requirements

• Degree in Accountancy, Business, Finance, Law, or a related discipline from a recognised university, with a particular interest in financial regulations.
• Relevant experience in Compliance, Audit, or Risk Management within asset management or capital markets is preferred.
• Good problem-solving skills, particularly in using AI to improve operational processes.
• Self-motivated, well-organised, independent, and able to manage multiple tasks.