Compliance Officer

**Position Summary**: Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the...

**Job Description The Compliance Officer is responsible for ensuring that the company complies with all applicable regulations, laws, and industry best practices related to life insurance sector. This role involves implementing, monitoring, and enforcing the company’s compliance policies and procedures, and ensuring that all employees understand and adhere...

Position DescriptionThis is a 6-month contractual (potentially extendable) position for a period of maternity leave coverage. As a member of the Singapore Compliance team reporting to the Head of Compliance, Singapore, and with further support from head office, the incumbent will have the exciting opportunity to support multiple business lines across a...

Join to apply for the Compliance Officer role at Schonfeld Join to apply for the Compliance Officer role at Schonfeld The Role We are seeking to hire an exceptional Compliance Officer to join our Singapore office. This role will report into the Head of Compliance APAC, based in Hong Kong, and hold several critical profiles and responsibilities for the...

**Requirements**: - A relevant degree in Finance, Business or Accountancy - Minimum 2 years of Compliance/AML/CFT/SANCTION experience in a bank or financial institution - Knowledge in MAS rules and regulations - Keen interest in compliance with long term plans to remain in this field - Self-motivated and committed - Resourceful, motivated and willingness to...

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,...

ComplianceCompliance Officer - SingaporeSG, Singapore (Hybrid)DescriptionWe're looking for a proactive Compliance Officer to join our Global Compliance Department. This key role focuses on product compliance, through the enforcement of our internal standards, prevention of misuse, and the promotion of ethical practices across the organization. You'll...

Compliance Officer - Associate / Assistant Manager Non-disclosed Singapore Apply now Posted 1 day ago In-Office Job Permanent $4k - $5k Compliance Officer - Associate / Assistant Manager Non-disclosed Singapore Apply now Dedicated investment management platform for providing global investors with a gateway to invest through differentiated alternative...

Overview Join to apply for the Senior Compliance Officer, Compliance role at CLSA . The Senior Compliance Officer will report to the Head of Compliance Singapore and is a generalist role with a broad Compliance mandate spanning multiple licensed entities in Singapore and multiple business lines, including institutional cash equities sales and trading,...

Regulatory Management Timely manage regulatory changes, updates and obligations such as gap analysis, update policies and procedures to ensure timely implementation and compliance, and perform an annual review of relevant policies & procedures. AML/CFT Fulfil AML/CFT Enterprise Wide Risk Assessment Support relevant offices with the annual review of ML/TF...