Compliance Officer (Asset Management)
Detalhes do emprego
About the Company Looking forward to working in a leading asset management company? Randstad is partnering with a leading fund management company, and they are looking for a Senior Compliance Executive / Compliance Officer to join their expanding team. This role plays a critical part in ensuring our company’s adherence to regulatory requirements set by the Securities Commission (SC). The ideal candidates will have a strong background in compliance, demonstrate leadership qualities, and be willing to undertake SC licensing modules if not already obtained. About the Job Key Responsibilities:
- Regulatory Compliance:
- Ensure compliance with all relevant regulations and requirements as outlined by the Securities Commission (SC).
- Develop, implement, and monitor compliance policies and procedures to align with industry standards and regulatory expectations.
- Prepare and submit accurate and timely regulatory filings to the SC.
- Risk Management:
- Identify, assess, and mitigate compliance risks within the organization.
- Conduct regular compliance audits and reviews to ensure adherence to internal policies and external regulations.
- Leadership and Guidance:
- Provide guidance and support to the team in understanding and implementing compliance requirements.
- Assist in training employees on compliance-related matters to foster a culture of integrity and accountability.
- Liaison with Regulatory Bodies:
- Act as a point of contact with the Securities Commission and other regulatory bodies for compliance-related matters.
- Address and resolve any compliance issues or inquiries from regulatory authorities promptly.
- Licensing and Certification:
- Undertake SC Modules 9, 10, and 11 to obtain the Licensed Compliance Officer certification if not already certified.
- Maintain up-to-date knowledge of regulatory changes and ensure the organization’s compliance framework evolves accordingly.
- Experience: Minimum of 3 years in a compliance role, preferably within the fund management industry.
- Education: Bachelor’s degree in finance, law, business administration, or a related field.
- Licensing: Possession of SC Modules 9, 10, and 11 certifications or willingness to undertake these modules.
- Skills:
- Strong knowledge of regulatory compliance requirements and practices.
- Excellent leadership and interpersonal skills.
- High attention to detail and strong analytical abilities.
- Effective communication skills, both written and verbal.
- Attributes:
- Proactive and solution-oriented mindset.
- Ability to work independently and as part of a team.
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