Business Compliance Manager

1 week ago

Singapore Schroders Full time

**Who we’re looking for**
- A strong team player who is able to support the Front Office / Compliance and Client Documentations team in ensuring compliance with industry’s rules and regulations, best practices as well as Local / Divisional and Group policies and procedures.
- An individual who is able to work within tight deadlines and contribute positively and dynamically to the growth of the Asia Wealth Management business from a risk and control perspective.

**About Schroders**

We’re a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.

We have around 4,000 people on six continents. And we’ve been around for over 200 years, but keep adapting as society and technology changes. What doesn’t change is our commitment to helping our clients, and society, prosper.

**The base**
Singapore

**The team**
This is a new function and for a start, this will be an individual contributor role with plans to expand the team in the future to support the growth of the business.

**What you’ll do**

This role will operate between the Front Office teams and Compliance / Client Documentations team to take care of an area of compliance-related work that currently requires significant coordination between the two business areas.

Roles and responsibilities:

- Review and assess (completeness and accuracy) all name screening searches of accounts for all new account opening and ongoing account review.
- To review all client suitability assessment for new accounts / account reviews prior to approval.
- To assess the AI status of new clients to ensure that all onboarded clients meet the AI definition.
- To act as a compliance / client documentations champion for the front office.
- Be the RCA champion and assessor for Front Office
- Monitoring progress of Annual Client Reviews
- Monitor and coordinate the remediation of Documents Deficiencies with various stakeholders
- Ad hoc / future planned responsibilities:

- Provide support on ad hoc front office / compliance projects
- Monitoring of CPD requirement
- To assist in the review of SOW corroborate
- Facilitate training for front office staff
- Maintaining front office related policies / procedures
- 1st level review of name screening alerts

**The knowledge, experience and qualifications you need**
- Minimum 3 years’ experience in the Compliance related field, preferably Private Banking / Wealth Management.
- University Degree. Diploma holders or A-level holders with the above requisite relevant working experience may be considered.

**The knowledge, experience and qualifications that will help**
- Experience in performing enhanced due diligence reviews of high-risk clients, review of client transactions and/or AML investigations in a private banking / wealth management set up is an advantage.
- Experience in client documentation in relation to client onboarding.
- Have a good understanding of front office (e.g. client facing function) activities

**What you’ll be like**
- A strong team player who is self-motivated and also able to work independently.
- Able to work in fast paced environment and meet tight deadlines.
- Possess excellent Analytical, interpersonal, communication and writing skills.

**We’re looking for the best, whoever they are**

Schroders is an equal opportunities employer. You’re welcome here whatever your sex, marital status, ethnic origin, sexual orientation, religious belief or age.

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