Associate Director, Compliance

8 hours ago

Bedok, Singapore Principal Financial Group Full time

**Responsibilities**:
Ensuring adherence to regulations, compliance with relevant laws and internal standards for the effective and continuous functioning of the business.

**Tasks**:

- For funds that the company sub-manages / advises on - Liaise with various business departments of PAM to resolve matters relating to funds that the company sub-manages / advises on.
- For ETFs that the company manages - Ensure compliance of the ETFs, such as ensuring timely renewal of prospectuses, financial reporting, and dividend distribution.
- Conduct statutory lodgments and ensure timely filing of statutory forms.
- Main contact point / liaison for dealing with governmental bodies and external / internal auditors.
- Communicating Compliance-related issues to employees across all divisions of the company.
- Advise staff on, and ensure proper implementation of, procedures put in place for compliance with regulatory requirements and internal policies.
- Perform timely update and testing of the company's Business Continuity Plan ("BCP").
- Conduct scheduled staff training sessions and provide adhoc updates on relevant regulatory / compliance requirements as well as internal standards.
- Provide pro-active, prompt, courteous and excellent service to all internal and external customers, operate in an ethical manner in accordance with all applicable laws and regulations, Global Codes of Conduct/Ethics, Employee Handbook, applicable compliance and operations policies and procedures and other policies of the company.
- Keep abreast of compliance regulatory updates in the Securities, Asset Management and Pension industries.
- Other tasks and projects in relation to compliance functions as assigned

**Financial and Non-Financial Dimension Measures**
**&**
**Adherence to regulations.**
- Efficient and timely resolution of issues relating to funds and ETFs.
- Timely filing of statutory forms.
- Timely organization and documentation of board / annual general meetings.
- Satisfactory resolution of regulatory/audit issues.

**Communication of Compliance-related issues.**
- Satisfactory understanding by all staff of the relevant regulatory requirements and internal standards.
- Timely update and successful testing of the BCP; continuous improvement of the BCP.
- Develop and maintain professional relationships with regulatory authorities, vendors, external managers, business leaders and compliance professionals across Principal. Serve as the back-up point of contact.

Qualifications:

- Bachelor's degree or equivalent required, plus 5-8 years relevant Compliance work experience
- Familiarity with financial service products and markets, securities laws and regulations, back-office operations and trading systems preferred
- knowledge of the Monetary Authority of Singapore’s regulations.
- Must have strong written and communication, organizational, attention to detail, analytical, problem solving, and relationship building skills
- Demonstrated ability to efficiently and effectively research, compile, synthesis, and analyze information, work independently and within a collaborative team environment, take initiative, and effectively prioritize multiple tasks required

Other skills, experiences and competencies include:

- Proven ability to work effectively and proactively.
- Excellent interpersonal and communication skills.
- Excellent problem-solving skill.
- Fluency in English (written and spoken) is required

Additional Information:
**This job reports to**:Chief Compliance Officer, APAC

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