Compliance Manager

2 hours ago

Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full time

**Position Summary**:
Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the client’s compliance programs as necessary to keep them current with new regulatory requirements and best business practices. You will be working directly with leading private equity and hedge fund firms in the alternative asset industry under the guidance and direction from our experienced team of industry veterans. You will be facilitating our service offering by assisting, performing, and reviewing the following:

- Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives. Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
- Perform reviews needed to complete an Annual Review of policies and procedures as required under the Advisers Act.
- Preparation and filing of required US regulatory filings.
- Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act.
- Draft client policies and procedures.
- Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
- Mentor new Associates/Senior Associates.Perform other compliance-related responsibilities and special projects as needed.

**Qualifications**:

- Bachelor's degree of any discipline
- 4 to 6 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred.
- Strong working knowledge of the IA Act of 1940 and the ICA of 1940
- Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.
- Knowledge of CFTC / NFA as well as FINRA requirements is a plus.
- Analytical, technical, and technology skills with proficiency in basic Office software, including Excel and Word
- Must be able to demonstrate strong organizational and problem-solving skills with attention to detail
- Must be able to demonstrate strong oral and written communication skills
- Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ clients
- Dependable, flexible, and adaptable to changing client needs and initiatives.
- Ability to work well in a fast-paced environment
- Must be able to work independently, multi-task and prioritize effectively
- Ability to establish and maintain effective working relationships with employees and clients

  • Compliance Analyst

    4 days ago

    Singapore WAYSTONE COMPLIANCE SOLUTIONS (SINGAPORE) PTE. LTD. Full time

    Assist in the implementation of check and balance processes and corporate governance standards as per the client type, strategy, mission, and goals of the regulated entity; - Assist in providing day-to-day support in the development, implementation, and maintenance of client’s compliance programs; - Assist in development and implementation of compliance...

  • Business Development Manager

    1 day ago

    Singapore Link Compliance Full time

    Purpose of the position: - A highly motivated individual with the relevant skill sets, capable of establishing new accounts and develop the freight forwarding business in Singapore- Manage and meet targeted growth for the freight and project forwarding desk Responsibilities:  - Establishing sales strategies, developing new freight forwarding business...

  • Business Development Manager

    1 day ago

    Singapore Link Compliance Full time $80,000 - $120,000 per year

    Purpose of the position: - A highly motivated individual with the relevant skill sets, capable of establishing new accounts and develop the freight forwarding business in Singapore- Manage and meet targeted growth for the freight and project forwarding desk Responsibilities:  - Establishing sales strategies, developing new freight forwarding business...

  • Professional Recruiter Specialist

    2 days ago

    Singapore beBee[Manager Full time

    Job Summary:">Manage the full recruitment process, from initial candidate screening to finalizing employment arrangements.Maintain accurate and up-to-date employee records, ensuring seamless integration with HR databases.Oversee employee benefits and compensation packages to promote a positive work environment.Ensure compliance with relevant labor laws and...

  • Associate/ Senior Associate, Regulatory Compliance

    1 day ago

    Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full time

    Manage a portfolio of clients - Provide advisory and consultancy services to clients - Submit and/or review of regulatory filings and notifications - Liaise and correspond with MAS and auditors - Periodic compliance reporting to senior management or board of directors - Provide or review compliance manual - Provide or review compliance checklists, registers,...

  • Business Development Manager

    3 days ago

    Singapore Link Compliance Full time

    Purpose of the position: - A highly motivated individual with the relevant skill sets, capable of establishing new accounts anddevelop the freight forwarding business in Singapore -Manage and meet targeted growth for the freight and project forwarding desk Responsibilities: - Establishing sales strategies, developing new freight forwarding business...

  • E-commerce Marketing Manager

    2 weeks ago

    Singapore Link Compliance Full time

    **Responsibilities** - Create and execute social media strategies to increase the company's online presence. - Take ownership and spearhead the comprehensive strategy formulation and planning for online campaigns across the entire Domestic Promotions and Campaign team. - Offer guidance, direction, and supervision to both sitewide and category marketers. -...

  • Senior Manager

    1 week ago

    Singapore Office of Risk Management and Compliance Full time

    **Posting Start Date**:21/01/2025 About ORMCThe Compliance, Data & Technology Risk unit of NUS Office of Risk Management and Compliance (“ORMC”) is seeking a highly skilled and experienced Compliance professional to oversee compliance risk management initiatives. The role is responsible for ensuring that the university is aware of and adheres to all...

  • Area Sales Director Southeast Asia

    1 week ago

    Singapore Link Compliance Full time

    Job Title: Area Sales Director Southeast AsiaDepartment: SalesReports to: General ManagerPosition SummaryWe are looking for a seasoned sales leader with a proven track record in the industrial valve, piping, or fluid control systems industry to drive business growth across Southeast Asia. This role will manage regional teams, partners, and service centers to...

  • Compliance Manager

    1 week ago

    Singapore PRIVIUM FUND MANAGEMENT (SINGAPORE) PTE. LTD. Full time

    An international asset management firm, is looking to hire a Compliance and Risk manager to be based in Singapore. This person will be a sole contributor and be the key contact regarding any compliance matters as well as monitoring the risk positions. **Key responsibilities**: - Overall compliance/regulatory oversight of the fund management company and the...