Chief Compliance Officer

An excellent opportunity to join a well-established real estate investment platform and grow your career.My client is a leading global real estate investment manager with strong Asia track records and a diverse global investor base that includes institutions and private individuals. We are looking for a Chief Compliance Officer (CCO) to be based in Singapore. The role will be supporting the real estate investment management activities in the Asia Pacific (APAC) such as commercial risk management, compliance, regulatory and governance.

Responsibilities include:
Monitoring of regulatory environment and licensing requirements across key Asia Pacific countries with specific market focus and coordinating with compliance colleagues in other Asia markets:

- Assist with liaising with the business particularly with Investor Relations (IR) and communicate with appointed external lawyers on evolving business environment and license implications.
- Work with IR team to ensure that individuals are aware of what can and cannot be done in relevant markets across Asia Pacific.
- Managing the relationship with MAS, ASIC and SFC in focused markets.
- Ensure robust compliance controls or mitigants are in place within the firm’s governance framework.
- Be the point person to liaise with external lawyers for licensing requirements or regulatory compliance as needed.
- Conduct regular review of policies and put in place procedural enhancements if needed.
- Prepare and arrange for various regulatory filings with the MAS, SFC, ASIC, US SEC and FINRA.

New business and Investment Management Agreement review process:

- Review potential risk, liability, license and compliance issues and requirements for new mandates and funds.
- In relation to AML/KYC matters, to review fund subscription books, prepare KYC assessments in compliance with MAS AML, other relevant countries and Company policy requirements (including refreshing KYC assessments of existing investors), review KYC assessments of our joint venture partners, buyers, sellers and vendors within the AP region.
- Work with IR group on client onboarding and lead client onboarding from a compliance perspective (including AML and KYC). Handle all queries from IR and investors on compliance matters.
- Be the point person to review marketing materials to ensure compliance with the relevant APAC and Company offering rules.

Assist in the development, communication and monitoring of governance of funds and mandates by:

- Assisting to develop and clearly communicate compliance requirements.
- Rolling out programs and raise awareness.
- Drafting and reviewing policies when new regulations / guidelines are put in place by conducting gap analysis with the relevant business stakeholders and addressing those in the drafting of such policies.
- Participating in operational reviews, audits and monitoring of governance and overall compliance.
- Leading the AP Compliance team in compliance-related projects as necessary.

General
- Provide practical and pragmatic regulatory and compliance advice in clear and concise (with mínimal jargon) manner to various stakeholders and in a timely manner.
- Strive to be a trusted compliance advisor by getting to know “the business” and becoming a critical part of it.
- Assist with compliance with Company-wide policies and procedures.
- Prepare and conduct compliance-related training for the Company, including those related to Code of Business Ethics, AML and Gift & Entertainment.
- Collaborate with Legal and Compliance colleagues around the globe on issues that could have global or multi-country/regional impacts
- Ability to provide or suggest solutions to complex regulatory and business challenges.
- Commercial attitude and enjoy working in an entrepreneurial, team-driven environment.
- Excellent communication and interpersonal skills.

**Qualification and Experience**
- Relevant university degree
- Audit background or Law degree would be a plus
- Preferably with a minimum of 9 years’ experience focused on corporate compliance work, in funds management, property or banking and finance sectors (preferably in Singapore).
- At least 5 years of experience in private and/or in-house, within the investment management or asset management space. Real estate experience will be advantageous.
- Experienced in advising companies holding capital markets services licences issued under the Securities and Futures Act and exemptions under the Financial Advisors Act and working knowledge of the requirements of these pieces of legislation.