(LF177) Compliance Exec
£75,000.00 Per Annum
Fund manager with Offices in the UK, India and Singapore have a newly created requirement for a compliance officer for their Singapore Office. Our client specialises in ESG.
For this role we need knowledge of MAS and SEBI
This is a varied compliance role that includes:
Regulatory updates from the MAS and SEBI
Review and dissemination of announcements/circulars from the MAS (Any detailed assessment and discussions on updates applicable to AP Asia will still be carried out by me).
Check SEBI’s website every end of day for any updates on Research Analysts/FPI regime (SEBI does not provide automated email notifications unlike the MAS).
Send reminders or follow-up with relevant functional heads on the implementation progress.
Audits – Singapore, India and Mauritius
Manage the audit process (e.g. Assist in basic information request, consolidating supporting documents and sending reminders on outstanding items/deadlines to functional heads etc.).
Expert network requests
Review expert network requests, in particular, Chinese experts during Singapore time (Should be able to understand and read Mandarin, this will speed up the review process greatly when it comes to screening which are often not ideal when it comes to Chinese experts).
Regulatory submissions – MAS and SEBI
Manage the notification/survey preparation process (e.g. MAS Risk Assessment Survey or Annual Restricted Scheme Declaration, individual can assist to input standard information, reaching out to other functions for required information and sending reminders on outstanding items/deadlines.
Prepare disclosure forms
Daily compliance monitoring report
Prepare the daily compliance monitoring report (Mainly data consolidation such as running through what happened during the day, looking through emails and pulling out statistics such as number of PAD requests approved, and number of regulatory updates received etc.
Other ad-hoc work
Address any ad-hoc requests from other functions
Performing initial or periodic outsourcing due diligence review and maintaining the MAS Outsourcing Register on the team’s behalf