Compliance Officer (Asset Management)

Recruit Legal Pte Ltd | Date Posted: 9-Jul-2020
EA Licence No: 16S8107|EA Personal Registration No: R1103711
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Job Nature:
Position Level:
Experienced, Manager
Bachelor's / Honours, Masters / PhD

Job Description

Our client is a company in the asset management industry seeking a compliance officer. The successful candidate will be working with business owners to implement policies and processes to address regulatory compliance issues, simultaneously reviewing said procedures to further improve on internal controls. In addition, he/she will carry out regular internal compliance checks and administer reporting regarding the Code of Ethics and personal trade pre-clearance. He/She will also investigate and resolve compliance and investment surveillance alerts and assist in internal regulatory compliance training for company stakeholders. In addition, he/she will coordinate with external regulators and handle regulatory filings, assisting in audits and inspection matters when held.


The ideal candidate should have a Bachelors’ Degree in Finance, Business or other relevant professional business qualifications with at least 5 years of relevant experience in the investment management sector. He/She must have a good understanding of the Securities and Futures Act and relevant Monetary Authority of Singapore regulations. Having knowledge of Bloomberg AIMS is advantageous.


Interested candidates may contact and send in your resume to Claire at [Click Here to Email Your Resume] for a private and confidential discussion.


Claire Lin
@ Lin Xiuxin

EA License No: 16S8107 | EA Personnel Registration No: R1103711

Company Overview
Recruit Legal Pte Ltd