Senior Compliance Associate

3 months ago

Singapur, Singapore Barings Full time

At Barings, we are as invested in our associates as we are in our clients. We recognize those who work diligently for us and reward them for personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies, ability to collaborate as a team member and true dedication to the interests of our clients.

We thank you for your interest in joining the Barings team, and invite you to explore our current employment opportunities.

Job Description

Responsible for the general compliance work for the company, coordinating all departments to operate in accordance with the requirements of the laws, regulations and regulatory authorities;

Ensure periodic compliance review and independent monitoring functions as required by the relevant regulatory requirements and annual compliance work plan are performed, including the provision of compliance advice to management on local regulatory compliance requirements;

Handle licensing, notifications, inspections, audit, reporting and any regulators’ requests, i.e., MAS;

Keep abreast of regulatory developments impacting the company and provide updates and advice to senior management and/or relevant stakeholders at a timely manner with necessary interpretation and impact assessment;

Conduct necessary compliance trainings to staff;

Review documents and provide necessary advice including business proposals, product related materials, agreements, marketing materials etc., to ensure that they are in compliance with applicable regulatory requirements and company policies;

Assist in monitor all elements of trading for investment products related to, among others: public equity and fixed income investments; bank loans, private placements, derivatives, real estate and other structured products;

Provide surveillance and oversight in relation to best execution, fair allocation, conflicts, market abuse, order management and trade error resolution;

Identify best practices and other potential enhancements to the firm’s firewall and control room functions.

Work with Global and Regional Compliance to implement internal policies and procedures;

Perform regular compliance monitoring works including personal accounts dealing, gifts and entertainment and sales process etc.; 

Any ad-hoc duties and other tasks as assigned.

Provide supports or other duties assigned in respect of other offices in Asia-Pacific Ex Japan.

The ideal candidate will have

Relevant university degree and minimum of 5 years of relevant compliance experience gained in financial market. Global fund industry background viewed advantageously;

Good knowledge in Singapore laws and regulations and other regulatory requirements; familiar with local regulatory systems and requirements for information filing, reporting and disclosure;

Sound understanding of the operation of international financial markets and the purpose and importance of effective regulatory oversight, risk management and corporate governance;

Positive attitude, collegial attitude and a high level of professionalism

Ability to identify compliance risks and advise on, promote, develop and implement suitable controls, policies and procedures to effectively monitor and mitigate that risk;

Ability to identify and advise management of changes in the regulatory and compliance environment and design and implement appropriate compliance solutions;

Willing to take up duties to assist other functions in the office; and

Excellent oral, presentation and written communication skills; self-motivated; able to work independently and also a team player, confidence to communicate proactively and effectively with peers and senior management; ability to manage to a set of deadlines and deliverables with limited supervision.

#LI-SS1 #LI-GA1

Barings is an Equal Employment Opportunity employer; Minority/Female/Age/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.

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