Manager/ Assistant Manager, Regulatory Compliance

1 week ago

Singapore IQ-EQ Full time

Company Description

IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

**Job Description**:
Our Regulatory Compliance Advisory team services regulated financial institutions, the majority of whom are Capital Market Services Licence holders for fund management activities. We are looking to hire a senior team member to join the team in Singapore.

**Job description**:

- Reporting to the team lead, you will take responsibility in fulfilling our clients’ needs on full spectrum of regulatory compliance advisory work - from licensing, set up of initial compliance function, ongoing compliance monitoring to compliance projects (e.g. internal audit/mock inspection), amongst other:

- Set up the compliance function for clients who have successfully applied for MAS/ SFC licence, including design of compliance manual and monitoring program tailored to the client’s business circumstances
- Advise clients on ongoing regulatory compliance requirements and be responsible for clients’ requests for advice and assistance on regulatory compliance related matters
- Conduct/review associate’s work on regulatory compliance review based on MAS’ regulatory requirements
- Execute ad-hoc projects which affect our clients/ industry (including study of changes to tax incentives, new legal vehicles for investment vehicles, technology adoption for regulatory compliance etc.)
- Produce write-ups on regulatory updates which affects the fund management industry
- Prepare/ review associate’s work on regulatory reporting based on MAS’ risk-based capital requirements / Prepare/review associate’s work on SFC FRR filings (Hong Kong)
- Conduct internal audit for MAS-regulated clients and conduct compliance review/mock inspection for SFC-regulated clients
- Prepare materials and deliver compliance training to clients

**Qualifications**:

- Broad knowledge of the Securities and Futures Act, Financial Advisers Act and MAS Notices and Guidelines for Singapore fund management companies
- At least 5-7 years of experience in regulatory compliance functions
- High proficiency in spoken and written English
- Able to manage multiple stakeholders including clients, senior management, team lead and associates
- Knowledge in tax exemption in relation to family office and fund managers, and VCC setup/compliance is a plus

Additional Information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

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