abrdn Asia Limited | Compliance Manager

2 weeks ago

Singapore abrdn Asia Limited Full time

Time left to apply: End Date: December 31, 2024 (30+ days left to apply)
Job Requisition ID: R0072391
Job Description
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, group 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 Group 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 aAL and its Subsidiaries
Handle and liaise with staff and regulator on licensing matters.
Monitor compliance of licensing conditions for aAL and its subsidiaries.
Monitor regulatory compliance for Korea entity.
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 to APAC Compliance Teams.
Management Reporting
Support compliance reporting to senior management, headquarters etc.
Regulatory Filing and Due Diligence Requests
Perform regulatory filing.
Assist with compliance related due diligence requests from clients and internal stakeholders.
Compliance Monitoring
Work with the Monitoring & Oversight team to complete reviews and tests on regulatory hotspots.
Team Support
Provide support to the Head of Compliance - Singapore.
Provide guidance and mentorship to junior team members.
Ad Hoc
Work on special projects as and when assigned.
Provide compliance support for other regions beyond Singapore (as the regional hub) where required.
Cover other team members when they are out of office.
We’re committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense – this includes but is not limited to our diversity of educational and professional backgrounds, experience, cognitive and neurodiversity, age, gender, gender identity, sexual orientation, disability, religion or belief and ethnicity and geographical provenance. We support a culture that values meritocracy, fairness and transparency and welcomes enquiries from everyone.
If you need assistance or an adjustment due to a disability please let us know as part of your application and we will assist.
About Us
At abrdn, our purpose is to enable our clients to be better investors. abrdn plc manages and administers £496 billion of assets for clients, and has over 1 million shareholders (as of 30th June 2023).
Our business is structured around three vectors – Investments, Adviser and Personal – focused on the changing needs of our clients.
Across markets globally, we build investment solutions to enable clients to create more opportunities for their futures.
Our platform technology and tools help UK wealth managers and financial advisers create more opportunities for their clients and their businesses.
Our personal wealth business offers tailored services to help individuals in the UK create financially secure futures in a way that works for them.
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