Associate Director, Compliance

6 days ago

Bedok, Singapore Principal Financial Group Full time

**Responsibilities**: Ensuring adherence to regulations, compliance with relevant laws and internal standards for the effective and continuous functioning of the business. **Tasks**: - For funds that the company sub-manages / advises on - Liaise with various business departments of PAM to resolve matters relating to funds that the company sub-manages / advises on. - For ETFs that the company manages - Ensure compliance of the ETFs, such as ensuring timely renewal of prospectuses, financial reporting, and dividend distribution. - Conduct statutory lodgments and ensure timely filing of statutory forms. - Main contact point / liaison for dealing with governmental bodies and external / internal auditors. - Communicating Compliance-related issues to employees across all divisions of the company. - Advise staff on, and ensure proper implementation of, procedures put in place for compliance with regulatory requirements and internal policies. - Perform timely update and testing of the company's Business Continuity Plan ("BCP"). - Conduct scheduled staff training sessions and provide adhoc updates on relevant regulatory / compliance requirements as well as internal standards. - Provide pro-active, prompt, courteous and excellent service to all internal and external customers, operate in an ethical manner in accordance with all applicable laws and regulations, Global Codes of Conduct/Ethics, Employee Handbook, applicable compliance and operations policies and procedures and other policies of the company. - Keep abreast of compliance regulatory updates in the Securities, Asset Management and Pension industries. - Other tasks and projects in relation to compliance functions as assigned **Financial and Non-Financial Dimension Measures** **&** **Adherence to regulations.** - Efficient and timely resolution of issues relating to funds and ETFs. - Timely filing of statutory forms. - Timely organization and documentation of board / annual general meetings. - Satisfactory resolution of regulatory/audit issues. **Communication of Compliance-related issues.** - Satisfactory understanding by all staff of the relevant regulatory requirements and internal standards. - Timely update and successful testing of the BCP; continuous improvement of the BCP. - Develop and maintain professional relationships with regulatory authorities, vendors, external managers, business leaders and compliance professionals across Principal. Serve as the back-up point of contact. Qualifications: - Bachelor's degree or equivalent required, plus 5-8 years relevant Compliance work experience - Familiarity with financial service products and markets, securities laws and regulations, back-office operations and trading systems preferred - knowledge of the Monetary Authority of Singapore’s regulations. - Must have strong written and communication, organizational, attention to detail, analytical, problem solving, and relationship building skills - Demonstrated ability to efficiently and effectively research, compile, synthesis, and analyze information, work independently and within a collaborative team environment, take initiative, and effectively prioritize multiple tasks required Other skills, experiences and competencies include: - Proven ability to work effectively and proactively. - Excellent interpersonal and communication skills. - Excellent problem-solving skill. - Fluency in English (written and spoken) is required Additional Information: **This job reports to**:Chief Compliance Officer, APAC

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