Compliance, Associate

2 weeks ago

Singapore ICONIQ CAPITAL (SINGAPORE) PTE. LTD. Full time

**About ICONIQ Capital**

ICONIQ Capital is a global investment firm elevated by an extraordinary community. With over $80B assets under management, we seek to build resilient investment portfolios, partner with inspired entrepreneurs transforming industries, manage our clients’ lives and legacies, and create uncommon opportunities across sectors and society

**The Opportunity**:Compliance Associate

The Compliance Associate helps oversee and manage ICONIQ Singapore’s compliance program, assisting the Legal & Compliance Department with ongoing administration and management of the firm’s policies and procedures.

**Principal Responsibilities**:

- Assist with legal and regulatory matters pertaining to a holder of a Singapore Capital Markets Services license for fund management.
- Assist with maintaining and updating policies and procedures as outlined in the firm’s Compliance Manual and Code of Ethics, including but not limited to new hire training, personal trades, gifts and entertainment, data privacy, etc.
- Assist with implementing legal and regulatory risk mitigation strategies / internal controls across multiple disciplines.
- Review of AML/KYC requirements during onboarding and on an ongoing basis.
- Collaborate with the relevant teams in the preparation and submission of MAS and other regulatory filings.
- Manage regulatory and audit inquiries.
- Prepare resolutions and other corporate secretarial matters.
- Facilitate in training related matters in the Singapore office.
- Assist in the review or drafting of marketing and business development materials.
- Shadow others within the Legal & Compliance team in order to back up and handle other Legal & Compliance tasks as needed globally.
- Assist with Legal & Compliance department's administrative needs (e.g. tracking tasks and contracts, obtaining approvals and signatures, assisting with team workflow, etc.).
- Other functions to support the legal and compliance function and local teams, including IPI Partners, a joint venture of ICONIQ Capital, as determined.

**Qualifications**:

- Minimum of 6 years of legal and compliance experience working at an investment management firm.
- Sound knowledge of the Singapore regulatory framework specifically in relation to licensed fund management companies in Singapore.
- Knowledge of general marketing and solicitation rules across Asia.
- Experience handling corporate secretarial duties for various Singaporean legal entities.
- Excellent interpersonal and communication skills, enthusiasm and a strong aptitude for learning.
- Demonstrated ability to multi-task and work efficiently in a fast-paced environment.
- Demonstrated ability to work cooperatively and collaboratively with all levels of employees.
- Proficient with Microsoft Word, Excel and PowerPoint.

**Location**:Singapore

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