Compliance Officer

1 week ago

Singapore NUVEEN SINGAPORE PRIVATE LIMITED Full time

**Overview of the Role**:
This Compliance Officer will cover all Compliance related topics for Nuveen’s business activities within Singapore and the wider Asia Pacific region (excluding Japan). This includes providing the primary compliance support to the local boards and senior management, particularly in Singapore.

The Compliance function provides advice to senior management on queries and regulatory change as well as providing independent monitoring to ensure the businesscontinues to operate within the appropriate regulatory standards, internal policies and industry norms.

Fixed term contract (maternity leave cover). Part time/Full time.

**Main Duties and Responsibilities**:

- Serve as principal contact for the Nuveen Real Estate, Equities and Global Relationship Group team members based in Singapore. Establish, enhance and develop existing or new policies and procedures for the business;
- Provide thought regulatory leadership, guidance, and drive implementation with respect to the compliance aspects for local regulatory matters and support the Head of Nuveen Compliance APAC (ex-Japan) with regulatory change throughout the APAC region. Look to co-ordinate and leverage additional support where possible from the wider Nuveen Compliance Europe & APAC team;
- Liaising with the business in relation to compliance issues identified and ensuring remedial action points are followed up. Escalating to the Head of Nuveen Compliance, APAC (ex-Japan) as and when required;
- Undertake and issue Compliance Monitoring reports and various reports to senior management in Singapore and the wider APAC region;
- Preparation and updating of Local/Regional Compliance policies and procedures for APAC;
- To assist in delivering the compliance training program for APAC;
- To assist in collation of various money laundering and financial crime documentation and conduct sanctions and PEP screening and co-ordinate with the wider Nuveen and TIAA teams;
- To assist in various ad hoc compliance projects and initiatives as required from time to time;
- Where appropriate, assist in preparation of reports and submission of reports to various regulators particularly the MAS;
- Oversee portfolio management activities from a 2nd line perspective;
- Liaise and develop compliance contacts across the Nuveen affiliates and Group Compliance.

**Technical Skills & Qualifications Required**:

- Knowledge of financial regulation in Singapore, preferably related to Asset Management. Knowledge of other Asian regulatory regimes a plus;
- Experience working in an Asset Management Compliance function or equivalent (eg Law Firm, Regulatory Consultancy, Internal Audit, etc.) in Asia, preferably in Singapore;
- Experience working alternative asset classes such as Real Estate, Infrastructure as well as knowledge on Cross Border Sales and Distribution topics in Asia preferable

**Competencies Required**:

- Dynamic, self-starter, motivated
- Comfortable working independently and with mínimal supervision
- Good organisational skills with ability to handle multiple tasks under time pressure
- Good interpersonal skills together with ability to liaise with all levels of staff and management
- Good verbal and writing skills
- Language: English, further language skills a plus, particularly Mandarin and/or Cantonese

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