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Lead Compliance Officer

2 months ago

Singapore Nordea Bank Full time

Job ID: 24159

Would you like to support the business in developing ethics and risk culture? We are now looking for a Lead Compliance Officer based in Singapore to head Compliance locally and to ensure adequate compliance risk management in Asset Management.

At Nordea, we see that the world is changing fast – and we want to be one step ahead of the curve. That's why we're deeply committed to providing the financial solutions of tomorrow to our customers. We're creating an agile environment where we experiment and grow together – and we need your ideas. With us, you'll be in good company with a chance to make your mark on something bigger.

Nordea Asset Management ("NAM") is the functional name of the asset management business conducted by the legal entities Nordea Investment Funds S.A. ("NIFSA") and Nordea Investment Management AB and their branches, subsidiaries and representative offices. NAM is the largest asset manager in the Nordics with EUR 251bn in Assets under Management ("AUM") and about 860 employees from more than 40 different nationalities (December

Facts and figures as of December 2023:

  • AUM of EUR 251bn, being the largest asset manager in the Nordics with a strong European presence and a global business.
  • Top 10 European Asset Manager and #2 European Asset Manager ESG brand (Broadridge) with c.500 Nordic & International Institutional clients.
  • 69% of % of AUM in Responsible Investments solutions.
  • Multi-cultural team of 863 FTEs, of which 219 investment professionals, with c.40 nationalities in 18 locations, supported by traders and risk analysts.

The role is a full-time position based in Singapore and the successful candidate will be employed by Nordea Asset Management Singapore Pte. Ltd. (NAM SG) reporting locally into the CEO of NAM SG and functionally into the Head of NAM Compliance located in Europe.

NAM SG holds a CMS fund management license in Singapore and conducts investment management, research, client service and business development activities from Singapore. NAM SG is also the first ESG hub that Nordea Asset Management has outside of Europe. It is the only office in the Asia Pacific region and serves as the beach-head from which we aim to grow our Asian distribution business. In addition to selected UCITS sub-funds already being registered in Singapore as restricted scheme funds, since end Feb 2024, Nordea also has 12 UCITS sub-funds registered as recognised scheme funds. More information on NAM SG can be found here:

About this opportunity

Welcome to the NAM Compliance team. We add value by effectively advising and supporting managers and employees to enable sound business, and support management and the board in their oversight. To be as relevant as possible we seek to understand and develop the relevant knowledge of the business, the risks and controls to comply with internal and external requirements. As a Lead Compliance Officer, you'll play a valuable role in delivering fair customer outcomes across the end-to-end customer lifecycle and help protect the integrity of the markets where we operate. Whilst you will be the sole Compliance Officer located in Singapore you will be fully supported and integrated into the broader NAM Compliance team which itself is functionally part of NAM Governance.

What you'll be doing:

  • Identifying and assessing compliance risks.
  • Development and execution of Annual Compliance Plan (Testing, Surveillance and Training)
  • Provide advice and support to the Asset Management business locally (Distribution & Investments) in compliance related matters.
  • Reporting to Board of Directors on Compliance Risk, Regulatory Developments and Compliance activities.
  • Maintain and develop the Internal Compliance Framework and the ways of working.
  • Being the regulatory liaison to the MAS/managing the regulatory relationship with the local regulator.
  • Representing the broader NAM Governance in Singapore.

You'll join a committed team with a high motivation to deliver value adding compliance work to promote an effective management of the compliance risk in 1 LoD, and to support the management and board oversight.

Who you are

Collaboration. Ownership. Passion. Courage. These are the values that guide us in being at our best – and that we imagine you share with us.

To do well in this role, we believe that you:

  • Have +5 years of relevant Asset Management Compliance experience.
  • Demonstrable experience in Singapore fund management/capital market regulation regulations, including familiarity with regulations governing recognised funds schemes in Singapore.
  • A solid working knowledge of broader regulations across SE Asia and North Asia.
  • Have high sense of integrity, a structured approach and solid critical thinking also with attention to detail.
  • Have well developed verbal and written communication and interpersonal skills, and a proven ability to build and maintain stakeholder relationships.
  • Are a motivated individual, eager to be part of a growing business in Asia.


If this sounds like you, get in touch

Next steps

Submit your application no later than 13/05/2024. For more information, you're welcome to contact James O'Connor.

At Nordea, we know that an inclusive workplace is a sustainable workplace. We deeply believe that our diverse backgrounds, experiences, characteristics and traits make us better at serving customers and communities. So please come as you are.

Please be aware that any applications or CVs coming through email or direct messages will not be accepted or considered.

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