Compliance Manager

Job Title: Compliance Manager

Company Overview

As a global investment manager, we help institutions, intermediaries and individuals meet their goals, fulfil their ambitions, and prepare for the future. But as the world changes, so do our clients' needs. That's why we have a long history of adapting to suit the times and keeping our focus on what matters most to our clients.

Doing this takes experience and expertise. We bring together people and data to spot the trends that will shape the future. This provides a unique perspective which allows us to always invest with conviction. We are responsible for £726.1 billion (€846.1 billion/US$923.1 billion)* of assets for our clients who trust us to deliver sustainable returns. We remain determined to build future prosperity for them, and for all of society. Today, we have 5,618 people across six continents who focus on doing just this.

We are a global business that's managed locally. This allows us to always keep our clients' needs at the heart of everything we do. For over 200 years and more than seven generations we've grown and developed our expertise in tandem with our clients' needs and interests.

• as at 30 June 2023

Team Overview

A dynamic Compliance Team comprising of 5 team members.

Overview of role

Good compliance is good business, especially in an organisation which sets great store by its long term view and its reputation in the modern world of heightened regulatory and political pressure. This is a Singapore-based compliance role which is responsible for managing relationship with its financial regulators, advising colleagues on often complex regulatory requirements, monitoring compliance and helping Schroders' asset management entities in Singapore including Schroder Investment Management Singapore Ltd ("SIMSL") and Schroder Investment Management North America, SG Branch ("SIMNA SG Branch") to manage its regulatory and reputational risks.

1. Keeping Abreast of Regulatory Changes, Provision of Compliance Advisory and Support to Business

2. To ensure prompt and effective communication of regulatory requirements, licensing matters,

upcoming regulatory changes including changes to regulatory investment restrictions, group and

local compliance policies to SIMSL/ SIMNA SG Branch's Management, Business Heads and Staff.

• To lead/ support the evaluation of the potential commercial and/or operational impact resulting

from specific regulatory changes or legislations which affects business compliance arrangements,

procedures, processes and awareness.

• To lead/ support the implementation of regulatory changes.

• Keep abreast of regulatory developments in Singapore and Southeast Asia, including gathering

and providing feedback on public consultation papers.

• Communications with regulators and assist in responding to the day-to-day requests from

external and internal auditors on regulatory/ compliance matters.

• Maintain local compliance manuals which are in line with Group policies as well as international

best practices and relevant regulatory requirements.

• Providing compliance advisory on regulatory related matters.

• Review client agreements from compliance's perspectives.

• Conduct in-house training for staff e.g. anti-money laundering, staff personal dealing, licensing,

regulatory requirements etc.

1. Trade Surveillance and Compliance Monitoring

2. Perform trade surveillance tasks and activities based on Compliance Monitoring Program

3. To identify any irregularities or discrepancies as part of the trade surveillance process, including

detecting potentially abusive trading activities, investigating potential cases and escalation

• To develop an understanding of the systems in use, expert knowledge of regulations by the MAS,

regulatory changes and company's policies related to trade surveillance

• Assist in the planning and execution of Compliance Monitoring Program and prepare reports to

management/ stakeholders regarding the status of recommendations made from the review

findings in a timely and effective manner.

1. Anti-Money Laundering

2. To assist the MLRO as second line of defence against money laundering activities within SIMSL/

SIMNA SG Branch

• Advise the business and senior management on their responsibility to establish and maintain

effective anti-money laundering systems and controls.

1. Working with the Business

2. Work together with relevant functions on new business initiatives and projects, highlighting and

addressing specific compliance and regulatory concerns.

• Carry out review of all RFPs / RFIs / marketing materials and completing requests/questionnaires

from clients, regulators etc.

• Participate in client due diligence where necessary.

• Management Reporting

• Support compliance reporting to senior management, headquarters etc.

• Staff Management:

• Provide guidance and supervision to the junior members of the Compliance Team.

Essential Skills

• Degree Holder Candidate should have 7-8 years of relevant working experience in global asset

management

• Good understanding of global and local regulations impacting asset management firms

• Experience in trade surveillance and usage of trade surveillance systems

• Knowledge of regulatory investment guidelines such as Code of CIS, CPFIG, MPF, HK Code on Unit

Trusts and Mutual Funds and UCITs

• Good understanding of financial products and cross border marketing of funds

• Confident individual who is an effective communicator with excellent interpersonal skills

• Analytical with strong problem solving skillset

• Able to work well independently and within a team, in a fast paced and dynamic environment

• Experience in leadership roles preferred.

We recognise potential, whoever you are

Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background or any other protected characteristics.