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Compliance Officer

1 week ago

Singapore This is an IT support group Full time
Job Description

The Compliance Associate will play a crucial role in ensuring the company's adherence to regulatory requirements and internal policies. This position offers the opportunity to work with Compliance team members and business stakeholders primarily in various regions.

Responsibilities include:
• Supporting product document reviews
• Preparing regulatory filings
• Handling licensing matters
• Assisting with audits
• Preparing internal reports
• Monitoring regulatory changes

The precise requirements of the role will develop over time in response to changing needs of the business. However, we would expect the successful candidate to have the following main responsibilities:

**Primary Responsibilities/Essential Functions**
1. Support the review and maintenance of product disclosure documents and fund offering documents for compliance with internal and regulatory requirements.
2. Prepare and submit regulatory filings, ensuring timely and accurate submissions to regulators.
3. Handle licensing and registration matters, including the application and cessation of appointed/licensed representatives. Monitor compliance with applicable local licensing regulatory requirements.
4. Assist in the company's external audits.
5. Collate information and prepare required documentation for reporting to senior management and the Board of Directors.
6. Assist the compliance team in monitoring regulatory developments and changes, updating policies and procedures, and other ad-hoc tasks and projects as required.

**Skills/Qualifications**
* Bachelor's degree in accounting/finance, business, legal or a similar field preferred.
* Minimum 3 years of compliance, risk management, or audit experience in the asset management industry.
* Ability to stay organized, work independently, pay attention to details and commit to timelines.
* Strong analytical skills, verbal and communication skills, attention to details.

In addition to a highly competitive base salary, you will also be eligible for an individual annual performance bonus, plus Capital's annual profitability bonus, plus a retirement plan where Capital contributes 15% of your eligible earnings.