Compliance Officer

1 week ago

Singapore SANTA LUCIA ASSET MANAGEMENT PTE. LTD. Full time
Roles & Responsibilities

PROFILE OF SANTA LUCIA ASSET MANAGEMENT (SLAM)

We are a c. $1bn AUM pan-Asian boutique investment firm headquartered in Singapore (CMS License) with affiliate offices in Jakarta, Taipei and London. We serve institutions, family offices, and high net worths. SLAM follows a philosophy of constructive engagement and deep management contact, responsible investing and we are grounded in a value orientation fit for the 21st century. Signatory to the PRI Principles for Responsible Investment.

SLAM manages several funds and mandates, primarily focused on Asian public markets. The investment style is based on fundamental bottom-up research, with a strong focus on direct engagement with target companies and management teams.

JOB DESCRIPTION: COMPLIANCE OFFICER (PERMANENT/FULL-TIME)

Keeping Abreast of Regulatory Changes, Provision of Compliance Advisory and Support to Business

  • Ensure prompt and effective communication of regulatory requirements, licensing matters, upcoming regulatory changes including changes to regulatory investment restrictions and local compliance policies to management, business heads and staff.
  • Support the evaluation of the potential commercial and/or operational impact resulting from specific regulatory changes or legislations which affects business compliance arrangements, procedures, processes and awareness.
  • Keep abreast of regulatory developments in Singapore, including gathering and providing feedback on public consultation papers to the Monetary Authority of Singapore.
  • Lead communications with regulators and assist in responding to the day-to-day requests from external and internal auditors on regulatory/ compliance matters.
  • Maintain local compliance manuals which are in line with Company policies as well as international best practices and relevant regulatory requirements.
  • Review legal agreements from compliance's perspective.
  • Conduct in-house training for staff e.g. induction, staff personal dealing, licensing, regulatory requirements etc.

Licensing Matters and Monitoring of Licensing Conditions for

  • Handle and liaise with staff and regulator on licensing matters
  • Monitor compliance of licensing conditions
  • Monitor regulatory compliance for Funds

Code of Ethics & Personal Account Dealing

  • Provide advisory, monitoring and oversight on Personal Account Dealing and Conflicts of Interest, including Outside Business/ Employment

Product & Distribution- Review of Marketing Materials & Compliance Advisory of Cross Border Activities

  • Review of marketing materials to ensure compliance with regulatory requirements, including due diligence and RFPs
  • Provide advisory on cross border activities to business and guidance

Regulatory filing and due diligence requests

  • Perform regulatory filing
  • Assist with compliance related due diligence requests from clients and internal stakeholders

Compliance Monitoring

  • Complete reviews and tests on regulatory hotspots

Ad Hoc

  • Work on special projects as and when assigned

The candidate should have a strong attention to detail, take personal ownership of their work, and be familiar with the fund management industry.

Most importantly, we look for a compelling track record of making the most of each opportunity that candidates have been presented with in the past, and for candidates who are are looking to contribute to an established high-functioning team.

We look forward to discussing this opportunity further during the interview process. Please send your CV and cover letter to Samantha Pow at samanthap@slam.com.sg

Tell employers what skills you have

Licensing
Asset Management
Microsoft Excel
Due Diligence
Risk Assessment
Regulatory Compliance
Strong Attention To Detail
Marketing
Compliance
Banking
AML
Regulatory Requirements
KYC
Screening
Audit
Financial Services

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