Compliance Officer

1 day ago

Singapore SANTA LUCIA ASSET MANAGEMENT PTE. LTD. Full time

Overview PROFILE OF SANTA LUCIA ASSET MANAGEMENT (SLAM)We are a c. $1.3bn 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)Responsibilities Keep abreast of regulatory changes, provide compliance advisory and support to the 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 legislation 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 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 Handle and liaise with staff and regulator on licensing matters Monitor compliance of licensing conditions Monitor regulatory compliance for Funds Code of Ethics & Personal

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