Senior Associate, Regulatory Compliance

2 weeks ago

Singapore IQ-EQ Full time $60,000 - $120,000 per year
Company Description

IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

Job Description

You will be part of IQ-EQ Regulatory Compliance's Internal Audit and Project team, responsible for conducting internal audit engagements for clients (focusing on capital market services license holder)

Tasks include:

  • Obtain an understanding of the asset management and broader financial services industry and applicable regulatory requirements as well as industry best practices
  • Appreciate risks associated with the clients' business, internal controls and internal audit scope
  • Execute audit fieldwork by performing design and operating effectiveness assessment, to identify and discuss potential gaps and enhancements
  • Liaise and correspond with clients directly throughout the internal audit cycle
  • Prepare audit follow-up information requests, and draft audit findings as well as internal audit report
  • Participate in relevant company or industry initiatives and thought leadership
  • Other ad-hoc support as assigned
Qualifications
  • Bachelor's Degree in Business, Accounting, Law and any other relevant degrees
  • Experience in internal audit with financial institutions (e.g. regulated fund managers, Big 4 audit firms, MAS) will be an added advantage
  • Proficient in English; proficiency in Mandarin is an added advantage to be able to communicate with mandarin speaking client.
  • Meticulous and detailed-oriented
  • Excellent communication and interpersonal skills
  • Organised and self-disciplined;
  • A team player with strong oral, written, and interpersonal communication skill
  • Junior candidate will be consider at Associate level
Additional Information

The shortlisted candidate will be working at Lymon office at One Raffles Quay. 

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

  • Associate/ Senior Associate, Regulatory Compliance

    5 days 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,...

  • Compliance Associate/ Regulatory Compliance

    3 days ago

    Singapore KS CONSULTING PTE. LTD. Full time

    **About the Role** We are seeking a Compliance Associate / Officer to join our client's growing team in Singapore. This expansion role is designed to strengthen their compliance function and ensure adherence to regulatory requirements, while supporting business growth across products such as Derivatives, Securities, and Retail CFDs. You will play a key role...

  • Associate, Regulatory Compliance

    2 weeks ago

    Singapore IQ-EQ Full time $60,000 - $80,000 per year

    Company Description IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide. Job DescriptionManage a portfolio of clientsProvide advisory and consultancy services to clientsSubmit and/or...

  • Associate - Regulatory Advisory Compliance

    2 weeks ago

    Singapore Charterhouse Partnership | Asia Full time

    Description Associate - Regulatory Advisory Compliance A reputable and established financial institution is hiring an Associate, Regulatory Advisory Compliance in Singapore. Working with experienced and passionate Manager and colleagues, this is an excellent opportunity for someone who is early in the Compliance career. NO WORK VISA SPONSORSHIP IS PROVIDED!...

  • Associate - Regulatory Advisory Compliance

    2 weeks ago

    Singapore Charterhouse Partnership | Asia Full time

    Associate - Regulatory Advisory Compliance A reputable and established financial institution is hiring an Associate, Regulatory Advisory Compliance in Singapore. Working with experienced and passionate Manager and colleagues, this is an excellent opportunity for someone who is early in the Compliance career. NO WORK VISA SPONSORSHIP IS PROVIDED!2 days ago Be...

  • Manager / Senior Manager (Compliance)

    2 weeks ago

    Singapore Gambling Regulatory Authority Full time

    **What the role is** **What you will be working on** - You will investigate non-compliances reported to the Compliance Division and make recommendations on the regulatory actions to be taken. Examples of non-compliances include conducting games not in accordance with the approved game rules and failure to conduct prevention of money laundering measures in...

  • Associate Director, Regulatory Compliance

    2 weeks ago

    Singapore Aquis Search Full time

    **Responsibilities** - Identify, evaluate and assess compliance with laws, regulations and Group directives; investigate and escalate potential issues to Head of Compliance. - Keep abreast of regulatory changes and disseminate regulatory updates - Perform gap analysis and drive the implementation of new or revised regulatory requirements - Assist in the...

  • Associate - Regulatory Compliance Consultant

    1 day ago

    Singapore Waystone Governance Ltd. Full time

    Our Compliance Solutions division in Singapore are looking to add a new Consultant to their team. In this role you will have the opportunity to manage your own portfolio of clients seeking regulatory advice. Our portfolio comprises a variety of businesses including hedge funds, investment banks, asset management companies, venture capital firms, leveraged...

  • Compliance Officer/ Regulatory Compliance

    3 days ago

    Singapore KS Talent Solutions Full time

    We are seeking a Compliance Associate / Officer to join our client's growing team in Singapore. This expansion role is designed to strengthen their compliance function and ensure adherence to regulatory requirements, while supporting business growth across products such as Derivatives, Securities, and Retail CFDs. You will play a key role in managing...

  • Senior Manager, Regulatory Compliance

    2 weeks ago

    Singapore Cobo Full time

    Talent Acquisition - HR | Crypto | Web3 | Blockchain Role Overview We are seeking a Regulatory Compliance Manager to lead our regulatory engagement and licensing initiatives across Singapore and other jurisdictions. This role plays a key part in ensuring our compliance framework remains robust, responsive to regulatory changes, and aligned with business...