about the company
Looking forward to work in a leading asset management company? Randstad is partnering up with a leading fund management company and they are looking for senior compliance executive / compliance officer to join their expanding team. This role play 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.
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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.
Requirements:
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:
about the manager/team
This role report directly to the head of investment.
If you are keen to explore further, kindly apply to the job ads above.
