Compliance Specialist

4 days ago

Singapur, Singapore Capital Group Full time

“I can succeed as a Compliance Specialist”

Primary responsibilities/essential functions:

  1. Distribution, sales and marketing (“DSM”) compliance: Reviews and approves marketing materials for APACxJ. Participates actively in regional or global projects, providing input from APACxJ. Must be able to read and write both traditional and simplified Chinese.
  2. Regulatory filings: Prepares, reviews, manages, and files statutory documents with regulators in APACxJ related to licensing obligations, including annual filings and regulatory surveys.
  3. AML/CFT assessment: Conducts risk assessments, performs customer due diligence, provides guidance on AML/CFT policies, and handles related queries.

Additional duties include ensuring compliance awareness across departments, translating regulations into processes, collaborating globally, educating teams, resolving issues, supporting audits and regulatory requests, interacting with legal and regulatory bodies, participating in projects, training juniors, and other duties as assigned.

Skills/qualifications:

  • Knowledge of regulatory compliance standards and current industry practices.
  • Sound judgment and ability to resolve moderate complexity issues.
  • Proactive in identifying issues and proposing solutions.
  • Effective communication skills, both written and oral.
  • Ability to prioritize and collaborate across departments.
  • Self-directed, meticulous, adaptable, and tech-savvy.
  • High confidentiality and integrity.
  • Ability to assess risks and focus on client needs.
  • Project management capabilities.

Must hold at least a degree, have minimum seven years of compliance experience in investment management or financial services, and be proficient in reading, writing, and translating between English, Traditional Chinese, and Simplified Chinese. Experience with APACxJ regulators is a plus.

Offers include competitive salary, bonuses, retirement plan with 15% employer contribution, and comprehensive benefits. Additional details on compensation and benefits are available. Temporary positions in North America are excluded from these packages.

We are an equal opportunity employer committed to diversity and inclusion, prohibiting discrimination based on various protected characteristics.

Capital Group values integrity, client focus, diversity, and community, providing a dynamic environment for growth and success. Our benefits support associates at every life stage, with a hybrid work schedule and a strong set of core values guiding our actions.

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