A well established Hedge Fund client is looking for a Compliance Associate to be based in their Malaysia office to support their compliance operations
Responsibilities & Key Deliverables
Carrying out licensing requirements for business representatives and entities to conduct regulated activities.
Delivering induction training to new employees
Reviewing investor AML files (monthly sampling), resolving AML queries (working within internal Investor Relations and fund administrator) and undertake annual due diligence on our fund administrator
Reviewing of marketing materials – regular factsheets/presentations and ad hoc marketing materials and updating disclaimer library
Assisting the Business Compliance team with updating the Singapore and other country-specific compliance matrices to ensure firm’s knowledge, understanding and adherence with all relevant regulations within the ambit of our regulatory licences
Working with Business Management on AML/KYC counterparty issues (initial and ongoing)
Conducting vendor and outsourcing ongoing due diligence reviews
Employee-related compliance (e.g. outside business interests register maintenance, conflicts of interest register maintenance, approving G&E)
Contributing to the compliance quarterly report sent to management
Assistance for the end-of-year regulatory filings/declarations
Monitoring and reviewing ComplianceAlpha (workflow management tool) to ensure team completion of Business Compliance tasks
Ad hoc projects as required – which may involve looking at business compliance in other countries outside of Singapore
Experience, Requirements & Skills
2 to 6 years’ experience in the financial services/investment management industry
Good academic credentials, with an undergraduate degree in a relevant discipline (e.g.law/economics/business studies/accounting/management)
A proactive individual who uses their own initiative and works well under pressure while acting as an integral part of a diverse and multi-skilled Business Compliance team
Attitude is key – hunger, drive and determination
Excellent problem-solving ability and an analytical mind set
Excellent verbal and written communication skills in English is a must; assertive, polite and persuasive in approach
Ability to build strong working relationships and interacting professionally with members of staff across the Front Office and other teams within Infrastructure as well as several key external stakeholders
Ability to pay meticulous attention to detail
Demonstrates a mature, commercial perspective in day-to-day decision making
General knowledge/awareness of some of the key market regulations and the various regulators (MAS preferable; SFC, SEC, FCA are all plusses)
Back
