Compliance, Associate

5 days 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



  • Singapore THE EDGE PARTNERSHIP HOLDINGS PTE. LTD. Full time

    Our client is a multi-product investment service firm for investors worldwide, with offices across APAC. **Role Overview** - Oversee the implementation and ongoing execution of the Compliance Program across the Optimas Group, covering Regulatory, Investment, and AML/CFT (Anti-Money Laundering/Countering the Financing of Terrorism) frameworks. - Ensure the...


  • Singapore CSC (Corporation Service Company) Full time

    Job Title: Compliance Associate Job Responsibilities - Assist in review and approve new onboarding and subsequent CDD review cases. - Participate in CDD remediation project by performing CDD review on in-scope existing clients. - Participate in various assigned projects such as CDD remediation project and IT project. - Keep abreast of AML regulation...

  • Compliance Associate

    2 weeks ago


    Singapore ORIENT FUTURES INTERNATIONAL (SINGAPORE) PTE. LTD. Full time

    1 year exp **Roles & Responsibilities** **Are you ready for a compliance career with a global financial firm? Join Orient Futures Singapore as a Compliance Associate now.** Our business philosophy is continual innovation to stay ahead and relevant to provide premium brokerage services to all clients. In tapping on financial technology, we digitalize and...


  • Singapore IQ-EQ Full time

    Overview Associate, Regulatory Compliance (Ongoing Compliance Services) – Singapore Responsibilities Set up the compliance function for clients who are MAS-regulated, 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...


  • Singapore IQ-EQ Full time

    Overview Associate, Regulatory Compliance (Ongoing Compliance Services) – Singapore Responsibilities Set up the compliance function for clients who are MAS-regulated, including design of compliance manual and monitoring program tailored to the client's business circumstances Advise clients on ongoing regulatory compliance requirements and be...


  • Singapore SAFE HARBOR CAPITAL MANAGEMENT PTE. LTD. Full time

    **Company Description Safe Harbor Capital Management is a MAS-regulated Fund Management Company located in Singapore. We use a global, multi-strategy investment approach to analyze global markets for investment opportunities and deliver consistent returns to our investors. Our goal is to help our investors achieve their financial goals through a robust risk...


  • Singapore SAFE HARBOR CAPITAL MANAGEMENT PTE. LTD. Full time $80,000 - $120,000 per year

    **Company Description Safe Harbor Capital Management is a MAS-regulated Fund Management Company located in Singapore. We use a global, multi-strategy investment approach to analyze global markets for investment opportunities and deliver consistent returns to our investors. Our goal is to help our investors achieve their financial goals through a robust risk...


  • Singapore 360 Treasury Systems AG Full time

    As a Compliance Associate, APAC based in Singapore, you will be part of the Global Compliance Department and you will support the Chief Compliance Officer (CCO) of 360T APAC. Your Responsibilities Compliance Management of 360T Singapore; including RMO trading venue Knowledge of Singapore and other regulatory frameworks Knowledge of MAS systems Preparing and...

  • Compliance Associate

    2 weeks ago


    Singapore Primera Search Full time

    Our client is a Financial Institution with offices in Europe and Singapore (Raffles place). We are currently looking for a Compliance Associate with experience in the following: - Undertake the Compliance Risk Based Monitoring Programme, including carrying out specific reviews and assessments to ensure adherence to MAS regulations and internal policies. -...


  • Singapore 360 Treasury Systems AG Full time

    As aCompliance Associate, APAC based in Singapore, you will be part of the Global Compliance Department and you will support the Chief Compliance Officer (CCO) of 360T APAC. Your Responsibilities Compliance Management of 360T Singapore; including RMO trading venue Knowledge of Singapore and other regulatory frameworks Knowledge of MAS systems ...