Compliance and Sustainability Associate

About the Role

We are seeking a Compliance and Sustainability Associate to support the design, implementation, and continuous improvement of our regulatory compliance and ESG (Environmental, Social, and Governance) risk management framework. This is a multidisciplinary role combining regulatory interpretation, risk governance, ESG disclosure management, and sustainability-driven policy development within a cross-border investment management environment.

Key Responsibilities

1. Regulatory Compliance & Governance
- Client Due Diligence (CDD)/KYC

Lead and support onboarding, periodic reviews, and ongoing KYC reviews for investors, counterparties, and corporate partners. Evaluate complex ownership structures, conduct beneficial ownership checks, and verify source of wealth/funds.
- Regulatory Obligations Monitoring

Maintain a comprehensive compliance calendar tracking obligations under MAS Notices, SFA, FAA, AML/CFT regulations, and global equivalents where necessary. Escalate non-compliance risks and ensure timely filings.
- Internal Controls & Policy Maintenance

Draft, update, and review compliance policies and SOPs including but not limited to anti-corruption, conflict of interest, personal account trading, data protection, and whistleblowing.
- Licensing & Notification Management

2. AML/CTF Framework Implementation
- Screening & Monitoring

Conduct sanctions, PEP, and adverse media screening using systems such as Refinitiv World-Check and Know Your Customers. Assess risk level and red flags, document rationale and escalate to the Head of Compliance where appropriate.
- Suspicious Transaction Reporting

Assist the Head of Compliance in identifying, drafting and filing STRs (Suspicious Transaction Reports) to local financial intelligence units (e.g., STRO).
- Training & Awareness

Support the delivery of annual AML/CTF training and keep track of staff acknowledgment and completion records.

3. Business Continuity Planning (BCP) & Operational Resilience
- BCP Framework Development and Review

Assist in developing, maintaining, and periodically reviewing the Company’s Business Continuity Plan to ensure compliance with MAS guidelines and alignment with internal risk and operational policies.
- Testing & Scenario Simulation

Coordinate and participate in scheduled BCP testing exercises, including business disruption simulations, incident response walk-throughs, and scenario-based contingency planning. Document results and lessons learned.
- Critical Function Mapping & RTO Validation

Collaborate with department heads to identify critical business functions, validate recovery time objectives (RTOs), and ensure that contingency plans remain practical and effective.
- Incident Response & Escalation

Support incident response efforts during business disruptions by coordinating communications, assisting with escalation procedures, and ensuring alignment with regulatory expectations on reporting and continuity.
- Recordkeeping

Maintain comprehensive records of BCP activities, testing logs, and updates for internal audits and regulatory inspections.
- Operational Resilience Support

Assist to broader operational risk initiatives, including disaster recovery procedures, ensuring business continuity under various stress scenarios.

4. Cross-Border Compliance & Regulatory Harmonisation
- Multi-Jurisdictional Coordination

Liaise with regional teams (e.g., China) to align internal documentation, client onboarding standards, and compliance interpretations across different regulatory regimes.
- Outsourcing & Third-Party Oversight

Assist in the assessment and due diligence of third-party service providers, ensuring compliance with MAS Outsourcing Guidelines and cross-border data transfer controls.

5. ESG & Sustainability Risk Governance
- ESG Integration into Compliance
- ESG Risk Scoring Models

Support the development of ESG due diligence scoring tools used during client/investment screening, with input from international frameworks such as SASB and PRI.
- Climate & Environmental Risk Analysis

Participate in mapping climate-related risks and scenarios (e.g., physical and transition risks), particularly in relation to investment portfolios and client profiles.

6. Sustainability Reporting & Disclosures
- ESG Data Collection & Verification

Work with data owners across departments to gather, validate and prepare ESG metrics for disclosures, board presentations, and investor reports.
- Sustainability Framework Alignment

Assist in aligning the company’s sustainability disclosures with global standards such as:

- TCFD (Task Force on Climate-related Financial Disclosures)
- UN PRI (Principles for Responsible Investment)
- MAS ERM Guidelines (Environmental Risk Management Guidelines for Asset Managers)
- Board & Stakeholder Reporting

Prepare materials for Board Sustainability Committees, ESG steering groups, and investor ESG due diligence requests.

7. Training, Ethics & Culture
- Internal Training Programs

Support i