Investment Compliance Manager Asia

2 weeks ago

Singapore ST. JAMES'S PLACE (SINGAPORE) PRIVATE LIMITED Full time
Roles & Responsibilities

Main Purpose of Job:

Support the Chief Investment Officer and Head of Investment Compliance, Asia & Middle East by providing regulatory advice on unit trusts and unit linked funds, in Hong Kong, Singapore, to the wider business and ensure they meet local regulatory requirements and operational compliance; covering the authorisation and launch of new funds and operational & regulatory changes to existing funds.

Key Responsibilities of the Job:
  • Support the Chief Investment Officer and Head of Investment Compliance, Asia and Middle East for regulatory responsibilities and maintain relationships with SFC (Hong Kong) & MAS (Singapore).
  • Facilitate the Asia fund operational and compliance policy framework and associated reporting (including SFC, MAS, ExCo & Board reporting)
  • Ensure that BAU activities and controls are carried out in line with regulatory requirements and timeframes
  • Maintain oversight of business change to be implemented because of regulatory changes, via the local compliance teams in the Asia locations.
  • Manage and deliver project and ad-hoc changes affecting the Asian funds in line with business priorities through Funds Working Group.
  • Maintain a centralized log of regulatory developments across Asia and Middle East and support the implementation through Funds Regulatory Group’s oversight, including undertaking and presenting impact analysis.
Requirements of the Job:Job Knowledge:
  • Relevant experience in investment compliance or risk management.
  • 5 - 7 years’ experience in the financial industry (fund management / insurance business will be preferred) with relevant experience
  • Good understanding of SFC Code on Unit Trusts and Mutual Funds, Investment -Linked Assurance Schemes, MAS 307 – Investment Linked Policies and MAS Code on Collective Investment Schemes.
  • Good analytical, interpersonal and communication skills with flexibility and adaptability to changes
  • Experience in regulatory compliance or internal audit with financial institutions (e.g. regulated fund managers, Big 4 audit firms, MAS) will be an added advantage.
SJP Business Expertise:
  • Good understanding of wealth management, SJP’s fund range and organisational structure to enable cross-divisional interaction.
  • Sound knowledge of the regulatory jurisdictions in which SJP operates – Asia and Middle East
  • Understanding of Investment Management Approach (IMA) changes from an Investment Operations perspective.
Problem Solving:
  • Ability to understand issues and use experience to drive further questioning to identify concerns and willing to socialize these appropriately with supporting explanations
  • Provide detailed impact analysis to enable planning and prioritisation of proposed fund and manager changes.
  • Provide regulatory horizon scanning and input into wider groups in UK.
  • Diplomatic and engaging approach to dealing with stakeholders regarding material concerns.
Nature and Scope of Impact:
  • This role supports the delivery of a robust regulatory and compliance framework over the Asian SJP fund range, which in turn supports the Investment team of Asia & Middle East and the Directors of SJPUTG in their regulatory responsibilities, ensuring they are kept informed of significant or material matters and providing assurance of the ongoing compliance through appropriate reporting.
Interpersonal Skills:
  • Excellent communication skills (written and verbal). The role requires interaction with all levels of the business to confidently and articulately explain and recommend appropriate courses of action. Communication with external lawyers is also required.
  • Strong planning and organisational skills, with ability to assess conflicting demands and prioritise work appropriately to meet deadlines.

Tell employers what skills you have

Wealth Management
Excellent Communication Skills
Regulatory Compliance
Interpersonal Skills
Assurance
Problem Solving
Risk Management
Investment Management
Adaptability
Compliance
Communication Skills
Big 4
Unit Trusts
Regulatory Requirements
Audit
Mutual Funds

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