Posted 1 month ago
  • Client Portfolio             :           IQEQ
  • Role                              :           Associate/Senior Associate, Regulatory Compliance  
  • Remuneration :           up to SG$60K/annum + base  
  • Location                       :           Singapore

Our Regulatory Compliance Advisory team services regulated financial institutions, the majority of whom are Capital Market Services Licence holders for fund management activities.

Job description:

Reporting to the team lead, you will take responsibility in fulfilling our clients’ needs on full spectrum of regulatory compliance advisory work – from licensing, set up of initial compliance function to ongoing compliance monitoring, amongst other:  

  1. Manage the overall process throughout a client’s journey for their MAS licence application
  2. Set up the compliance function for clients who have successfully applied for MAS licence, including design of compliance manual and monitoring program tailored to the client’s business circumstances
  3. Advise clients on ongoing regulatory compliance requirements and be responsible for clients’ requests for advice and assistance on regulatory compliance related matters
  4. Execute ad-hoc projects which affect our clients/ industry (including study of changes to tax incentives, new legal vehicles for investment vehicles, technology adoption for regulatory compliance etc.)
  5. Produce write-ups on regulatory updates which affects the fund management industry

Requirements:

  1. Broad knowledge of the Securities and Futures Act, Financial Advisers Act and MAS Notices and Guidelines for Singapore fund management companies
  2. At least 1 year of experience in regulatory compliance functions with consultancy firm or asset management firm
  3. High proficiency in spoken and written English
  4. Able to manage multiple stakeholders including clients, senior management, team lead and associates

Company Reg. No.: 201131609D: Licence No.: 11C4684 :  EA Reg no: R1328685

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