Job Duties:

• Conduct monitoring and surveillance programs with respect to investment guidelines, regulatory and client contractual obligations, policies and procedures, and best practice standards
• Ensure that regulatory and client contractual obligations are discharged in a proactive, effective and timely manner
• Conduct monitoring reviews to identify and address deviations
• Work with business areas to remediate errors, breaches and client complaints, and to ensure corrective actions are implemented to minimize future occurrence
• Maintain Compliance records, registers and files
• Ensure prompt escalation of significant issues to functional and business regional management
• Preparation of reports
• Other ad hoc duties as assigned

Job Requirements:

• Diploma in Banking / Finance / equivalent
• Some experience in regulatory, audit and/or asset management/financial services experience
• Experience in Investment Compliance and Bloomberg Compliance Manager is an added advantage

Interested applicants please send your resume in MS Words format and attention it to Tan Joanna (R1104661)

Short listed candidates will be notified

www.ambition.com.sg

EA Registration Number: R1104661

Data provided is for recruitment purposes only

Business Registration Number: 200611680D. Licence Number: 10C5117